1. Automatic additionality for CDM micro-scale project activities. DNA Help Desks Step-by-step guide for DNA on How to submit a recommendation

2. Step 1: Check applicability [+] Step 2: Review relevant information [+] Step 3: Prepare recommendation [+] Step 4: Submit and wait [+] Step 2: Review relevant information Step 2.1: Terms & conceptsStep 2.1: Terms & concepts Step 2.2.: Regulatory documentsStep 2.2.: Regulatory documents Step 2.3: Previous submissionsStep 2.3: Previous submissions [-] Step 3: Prepare recommendation Step 3.1: Collect data Step 3.2 Analyze dataStep 3.2 Analyze data Step 3.3: Complete formStep 3.3: Complete form Step 3.4: Common mistakesStep 3.4: Common mistakes [-] Step 4: Submit recommendation Step 4.1.: Approval processStep 4.1.: Approval process [-] Step 1: Check applicability Step 1.1: LDC &SIDS Step 1.2: Technologies already automatically additionalStep 1.2: Technologies already automatically additional [-] Introduction This document guides DNAs on how to submit a recommendation for automatic additionality of specific grid-connected microscale renewable energy technologies in their country. It assist DNAs to meet, but does not replace, relevant regulatory requirements. Why would a DNA want to submit a recommendation for automatic additionality? Read these reasons.Read these reasons Please note that the guide does not apply to DNAs from least developed countries (LDCs) or small island developing States (SIDS) (Step 1.1 explains why).Step 1.1 The steps: Click on the four steps below to see and link to the sub-steps in this guide: Step-by-step guide for DNAs Submitting recommendations for automatic additionality of grid-connected microscale renewable energy technologies First step Feedback and Support

3. Reason #1 Making a submission is designed to be easy and require a minimum of data and analysis. Proof of this is that already several DNA have successfully made submissions. next

4. Reason #2 If grid-connected renewable electricity generation technologies are automatically additional, then this saves CDM project participants money and time. This is especially good for microscale project activities, where the revenue from CERs is sometimes not considered sufficient to warrant the effort to prove additionality. next

5. Reason #3 Encouraging the development of micro-scale project activities has these benefits: support sustainable development goals encourage transfer of technology promote transfer of knowledge attract new participants to the CDM because they are easier to implement and governed by simpler rules than large-scale CDM projects

6. Step 1: Check applicability of the guide Click to continue

7. Step 1: Check applicability of the guide Step 1.1: LDC/SIDS country check LDC/SIDS do not need to apply this guide DNAs from LDCs or SIDS do not prepare recommendations for automatic additionality of specific microscale renewable energy technologies, and therefore do not need to follow this guide. This is because these types of technologies are automatically additional for LDCs and SIDS. next step

8. Tip - Useful links: List of LDCs and SIDS countries http://www.unohrlls.org/en/ldc/25/ http://www.un.org/special-rep/ohrlls/sid/list.htm Tip - Useful links: List of LDCs and SIDS countries http://www.unohrlls.org/en/ldc/25/ http://www.un.org/special-rep/ohrlls/sid/list.htm back Step 1: Check applicability of the guide Step 1.1: LDC/SIDS country check LDC/SIDS do not need to apply this guide

9. These grid-connected and off-grid renewable energy technologies are already automatically additional (up to 15 MW of total installed capacity) and should not be included in the recommendation: Solar technologies (photovoltaic and solar thermal electricity generation); Off-shore wind technologies; Marine technologies (wave, tidal); and Building-integrated wind turbines or household rooftop wind turbines of a size up to 100 kW. Only progress with using this guide if there is at least one other technology not listed above to potentially recommend. next step Step 1: Check applicability of the guide Step 1.2: Technologies already automatically additional Certain types of technologies are automatically additional in all countries

10. Step 1: Check applicability of the guide Step 1.1: LDC/SIDS country check back Tip - Check for latest information: Automatically additional technologies are listed in paragraphs 2(b) and (c) of version 9 of the Guidelines on the demonstration of additionality of small- scale project activities (EB68, Annex 27). This positive list may change so it is important to check this website to look at the latest version of the guideline: http://cdm.unfccc.int/Reference/Guidclarif/index.html#meth http://cdm.unfccc.int/Reference/Guidclarif/index.html#meth Tip #3: -Grid vs. off grid: Although the positive list in Step 1.2 refers to grid-connected as well as off grid renewable energy technologies, keep in mind that DNAs may only submit recommendations for grid-connected technologies. Tip - Check for latest information: Automatically additional technologies are listed in paragraphs 2(b) and (c) of version 9 of the Guidelines on the demonstration of additionality of small- scale project activities (EB68, Annex 27). This positive list may change so it is important to check this website to look at the latest version of the guideline: http://cdm.unfccc.int/Reference/Guidclarif/index.html#meth http://cdm.unfccc.int/Reference/Guidclarif/index.html#meth Tip #3: -Grid vs. off grid: Although the positive list in Step 1.2 refers to grid-connected as well as off grid renewable energy technologies, keep in mind that DNAs may only submit recommendations for grid-connected technologies. Step 1: Check applicability of the guide Step 1.2: Technologies already automatically additional Certain types of technologies are automatically additional in all countries

11. Step 2: Review relevant information Click to continue

12. Click term to see definition Is a set of project activities employing specific technologies that are defined in Guidelines on the demonstration of additionality of small scale project activities A project activity using technology(ies) belonging to a positive list is automatically additional. Power generating technologies that are not primarily fueled by fossil fuels. CDM recognizes the following types, however other types may also be specified in a submission for recommendation of automatic technology: Hydro; Geothermal; Wind (off-shore, on- shore); Solar-PV; Renewable Biomass (Biogas (landfill gas, sludge gas, other biogas), Wood/Wood Wastes/Other Solid Wastes, Other renewable biomass); Marine (wave, tidal, ocean) Connected to an electricity grid next step Automatically additional Non-renewable energy technologies: Microscale Positive list Renewable energy technologies Grid-connected Definition A project type that is automatically eligible as a CDM project activity and does not need to validate its additionality. This may be defined in a positive list or by an approved DNA recommendation for automatic additionality. Power generating technologies that are primarily fueled by non- renewable resources. CDM recognizes the following types, however other types may also be specified in a submission for recommendation of automatic technology: Combustible Fossil fuel (coal, oil, gas, others); nuclear. In case of grid connected renewable energy technology, the installed capacity of any technology is up to 5 MW. There are also other types of microscale projects, but these are not relevant to this guide. While preparing a recommendation you will come across a number of terms and concepts specific to the CDM. These definitions are particularly common: The CDM Glossary of Terms has definitions for other terms.CDM Glossary of Terms Step 2: Review relevant information Step 2.1: Terms and concepts Many important terms and concepts have specific meanings in the CDM Additionality Additionality - The effect of the CDM project activity to reduce anthropogenic GHG emissions below the level that would have occurred in the absence of the CDM project activity

13. The requirements for developing and submitting a recommendation for automatic additionality are defined in the following guidelines, procedure and form. Complying with and understanding the requirements of these documents is covered in subsequent steps of this guide. Guidelines for demonstrating additionality of microscale project activities http://cdm.unfccc.int/Reference/Guidclarif/ssc/methSSC_guid22.pdf http://cdm.unfccc.int/Reference/Guidclarif/ssc/methSSC_guid22.pdf These guidelines describe the conditions under which DNAs can recommend specific microscale renewable energy technologies for automatic additionality. Namely, the maximum capacity of the renewable energy installation (5 MW) and the extent that the renewable energy technology is already used in the host country (see paragraph 2(d), version 04.0). Procedure for submission and consideration of microscale renewable energy technologies for automatic additionalityhttp://cdm.unfccc.int/Reference/Procedures/methSSC_proc04.pdfhttp://cdm.unfccc.int/Reference/Procedures/methSSC_proc04.pdf This procedure describes the process to submit recommendations of specific renewable energy technologies. Proposed specific renewable technologies/measures submission form (F-CDM-PRT) https://cdm.unfccc.int/Reference/PDDs_Forms/Methodologies/methSSC_form08.doc https://cdm.unfccc.int/Reference/PDDs_Forms/Methodologies/methSSC_form08.doc This form must be completed by the DNA as part of the process to submit recommendations of specific renewable energy technologies. next step Step 2: Review relevant information Step 2.2: Regulatory documents Become familiar with the relevant regulatory documents

14. back Tip –Useful links: Links are provided in this step for the most recent versions of these documents, at the time of preparing this guide. The version of a document is tracked by either its version number or the EB meeting number where it was approved, and its annex number to the meeting report. Check the Rules and Reference section of the CDM UNFCCC website for any updates to regulatory documents. http://cdm.unfccc.int/Reference/index.html Tip –Useful links: Links are provided in this step for the most recent versions of these documents, at the time of preparing this guide. The version of a document is tracked by either its version number or the EB meeting number where it was approved, and its annex number to the meeting report. Check the Rules and Reference section of the CDM UNFCCC website for any updates to regulatory documents. http://cdm.unfccc.int/Reference/index.html

15. Several DNAs have already successfully made a recommendation for technologies that are automatically additional! Information related to all submitted recommendations for automatic additionality can be viewed at https://cdm.unfccc.int/DNA/submissions/index.html. https://cdm.unfccc.int/DNA/submissions/index.html On this website you will notice that for each submission there is a call for public input (this is managed by the secretariat), a recommendation by the SSC WG, an EB decision and the validity date of the recommendation. Step 4 describes the process followed once a submission is received.Step 4 next step Step 2: Review relevant information Step 2.3: Previous submissions Reviewing previous submissions helps understand how a recommendation is presented

16. Step 3: Prepare recommendation Click to continue

17. For a selected year y, that is not older than three years from the date of submitting the proposal, identify: 1.For each grid connected renewable energy technologies that could potentially be recommended for automatic additionality (except for wind, see tip), identify the installed capacity of each grid-connected power plant in the host country that is equal to or less than 5MW. 2.For all grid-connected technologies (e.g. renewable, non-renewable and wind technologies), identify the total installed capacity in the host country. Unlike the data collected for point 1, the installed capacities for individual power plants is not required, only the total grid-connected installed capacity of the technology. The data collected should include all grid-connected power plants in operation, including those registered or under validation as CDM project activities. Record all sources of information, so that the person assessing the submission is able to double check the source of the data. As part of assessing a submission, the secretariat will check each of the data sources. next step Step 3: Prepare submission Step 3.1: Collect data Data on the grid-connected power generation sector is the basis for the recommendation

18. Tip – wind technologies: The reason why it is not necessary to identify the installed capacity of wind power plants less or equal to 5MW, but this information is needed for every other technology potentially to be recommended for automatic additionality, is because of the design of wind power plants. Wind power plants, may consist of a number of wind turbines, sometimes spread over a large geographic area. It can be difficult to define and prove a situation that a number of small adjacent wind power plants are not in fact one large wind power plant. Because of this problem with defining installed capacities of wind farms, and the potential for different interpretations to change the results of analysis using the data, this information is not collected. Tip - Data sources: The secretariat frequently has problems checking the data sources of submissions. Common problems are that there is not enough information to confirm the data source, information is difficult to understand because it is not in English and weblinks do not work. Seeking more information from DNAs on data sources can delay the assessment process. To avoid this issue, look at previous submission (see Step 2.3) to see the data sources that other DNAs used. Tip – wind technologies: The reason why it is not necessary to identify the installed capacity of wind power plants less or equal to 5MW, but this information is needed for every other technology potentially to be recommended for automatic additionality, is because of the design of wind power plants. Wind power plants, may consist of a number of wind turbines, sometimes spread over a large geographic area. It can be difficult to define and prove a situation that a number of small adjacent wind power plants are not in fact one large wind power plant. Because of this problem with defining installed capacities of wind farms, and the potential for different interpretations to change the results of analysis using the data, this information is not collected. Tip - Data sources: The secretariat frequently has problems checking the data sources of submissions. Common problems are that there is not enough information to confirm the data source, information is difficult to understand because it is not in English and weblinks do not work. Seeking more information from DNAs on data sources can delay the assessment process. To avoid this issue, look at previous submission (see Step 2.3) to see the data sources that other DNAs used. back

19. Using the data collected, calculate the following two parameters. A. Sum of installed capacities of only microscale power plants (meaning plants with installed capacity less than or equal to 5 MW in year y in the host country), of each grid-connected renewable energy technology that is potentially to be recommended, excluding wind technologies (see column A of Example 1).Example 1 B. Total installed capacity of each grid-connected technology (including both power plants that are less than and more than 5 MW installed capacity in year y in the host country) (see column B of Example 1).Example 1 Then calculate the percentage that the microscale technology to be recommended constitute of the total installed capacity of the grid-connected power sector, as follows Divide each result for A above, by the sum of all results for B. If wind is potentially to be recommended in the submission, then use the corresponding value for B, in place of A for this calculation (see column C of Example 1).Example 1 Times these results by 100 to present this ratio as a percentage. If the percentage is equal to or less than 3%, then the renewable energy technology may be recommended for automatic additonality. A calculation spreadsheet for this analysis is available based on Example 1.Example 1 next step Step 3: Prepare submission Step 3.2: Analyze data Calculate % microscale technologies constitute of the total installed capacity of the grid-connected power sector

20. Example 1 is available as a spreadsheet: For renewable energy technology types that could potentially be recommended, but there are no plants installed in the host country, the total installed capacity of the technology is 0 Next stepStep 3.2 Step 3: Prepare submission Step 3.2: Analyze data (Example 1) Calculate % microscale technologies constitute of the total installed capacity of the grid-connected power sector

21. Step 3.3 continues Download and complete the latest version of the form (see Step 2.2) and submit it to secretariat@unfccc.int together with the data that was used in preparing the submission. secretariat@unfccc.int The main part of the form contains non-technical information. Page 1 (version 2) is shown below: List here the renewable energy technology types that are being recommended for automatic additionality. Read carefully and then check these boxes to confirm these conditions have been met. The steps in this guide have taken these conditions into account. Record here the title and version number of the documents listed in Step 2.2. When preparing the submission, use the most current versions of these documents. Step 3: Prepare submission Step 3.3: Complete form Complete the submission form and submit with supporting information

22. The technical information is recorded in Tables 1 and 2 of the annex to the form. The result of Step 3.2 are recorded in Table 1 of the form. Table 2 of the form lists the grid connected renewable energy technologies that are being recommended for automatic additionality (e.g. those that have ratio in the grid-electricity equal to or less than 3%). The annex is shown below: Step 3.2 List here the specific technologies being proposed for automatic additionality. The format of this table matches the example given in Step 3.2Step 3.2 The format of this table matches the example given in Step 3.2Step 3.2 Step 3: Prepare submission Step 3.3: Complete form Complete the submission form and submit with supporting information Next stepStep 3.3

23. Below are some descriptions of issues the secretariat has observed in previous submission: Technologies are recommended in submissions that are already on a positive list (see Step 1.2).Step 1.2 Data is missing or difficult to understand because it is not in English (For instance if is data table in a report is a source of information, then the entire report does not need to be translated, but the column headings, row headings and title of the table may need to be translated so that the data can be understood). Weblinks provided for sources for data are invalid (check weblinks before submitting) Data collected on power plants has excluded power plants that were either registered or in validation CDM project activities (include all power plants in operation, irrespective if they are CDM project activities or in validation). Thermal units such as MW thermal shall be derived from electrical units such as GWh by applying a multiplication factor of 3. next step Step 3: Prepare submission Step 3.4: Avoid common mistakes Knowing about common mistakes can help to avoid them

24. Step 4: Submit recommendation Click to continue

25. Follow the instructions given on the form for how to submit it. The recommendations will be assessed as per the Procedure for submission and consideration of microscale renewable energy technologies for automatic additionality by the UNFCCC secretariat. One of the first parts of procedure is for the secretariat to seek public comments on the submission. Next comes the assessment phases, during which the DNA may be approached by email or telephone for clarifications. Based on the assessment, the SSC WG members will recommend the Executive Board of CDM to approve or not approve the submission. The Board then decides to approve or not approve the submission during its next Board meeting. The decision will be recorded in the corresponding meeting report and on the website listing all submissions. The validity or period of time during which the list of technologies being automatically additional starts when the Board makes that decision (usually last day of the meeting). Finish Step 4: Submit submission Step 4.1: Approval process What happens after a DNA submission is received follows a documented procedure

26. Step 4: Submit submission Step 4.1: Approval process What happens after a DNA submission is received, follows a documented procedure Tip– Useful links: The submissions website records in which CDM Executive Board meeting the submissions were approved: https://cdm.unfccc.int/DNA/submissions/index.htmlhttps://cdm.unfccc.int/DNA/submissions/index.html. List of CDM EB meetings and meeting reports available here http://cdm.unfccc.int/EB/index.html Tip– Useful links: The submissions website records in which CDM Executive Board meeting the submissions were approved: https://cdm.unfccc.int/DNA/submissions/index.htmlhttps://cdm.unfccc.int/DNA/submissions/index.html. List of CDM EB meetings and meeting reports available here http://cdm.unfccc.int/EB/index.html back

27. Congratulations! You have completed the steps The secretariat looks forward to receiving your submission! Please send us feedback on using the guide:

28. Feedback on using this guide and suggestions for improvement are welcome and can be sent to DNA_helpdesk@unfccc.int.DNA_helpdesk@unfccc.int If a DNA had less than 10 registered projects at 31 December 2010, then the DNA Help Desk is very willing to give them case specific assistance applying the guide. Details on using the DNA Help Desk are available here: http://cdm.unfccc.int/DNA/helpdesk.http://cdm.unfccc.int/DNA/helpdesk previous Feedback and Support