GUIDELINES FOR A USIJI PROJECT PROPOSAL


I. Participants in the Project

  Please supply the following information:

A. Domestic (provide all parties involved in the project)
 
 (1) Corporate or administrative officer responsible for the projects.
 
 (2) Contact person for the project, if different from above.
 
 (3) Address, telephone number, fax, and e-mail, if applicable.
 
 (4) Category of eligibility: citizen, resident alien, company (or group of companies) recognized by laws of U.S. Federal        government, state government, or local government.
 
 (5) Legal proof of eligibility (e.g., tax ID for individual or business).

     B. Foreign (provide for all parties involved in the project)
 
 (1) Country of citizenship, incorporation, or recognized legal status.
 
 (2) Corporate or administrative officer responsible for the project.

        (3) Contact person for the project, if different from above.

         (4) Address, telephone number, fax, and e-mail, if applicable.

        (5) Category of eligibility: citizen, resident alien, company (or group of companies) recognized by laws of the host country or of a third country, national government, provincial government, state government, or local government.

II. Project Information

A.  Description and Milestones

     (1) Brief summary of the project.
 
 (2) Precise location of the project. If a site has not been selected, please provide information for each of the alternative sites for the project.
 
 (3) Identify all greenhouse gas sources and sinks at the facility or site included m the emissions baseline/reference case. Also, identify those sources and sinks that will be affected by the project. (Include information for all of the following gases that apply: carbon dioxide [C02], methane [CH4], nitrous oxide [N20], hydrofluorocarbons [HFCs], perfluorocarbons [PFCs], other halogenated compounds, and, optional but desired if available, precursors of tropospheric ozone [03], including carbon monoxide [GO], nonmethane volatile organic compounds [NMVOCs], and nitrogen oxides [NOx] .)

     (4) Description of the specific measures to reduce or sequester-greenhouse gas emissions initiated as a result of USIJI or in reasonable anticipation thereof.
 (5) Dates significant milestones.

   (a) the date and circumstances when substantive discussions regarding this project were initiated;

   (b) the relevant dates for applying for and receiving: permits, licenses. written approvals, letters of intent, agreements with host country governments, and financing for this project;

  (c) the dates for starting or completing significant phases or stages of the project, including, but not limited to: studies, feasibility studies, development (including construction and/or getting up on-site offices), and beginning operations (starting management practices, distributing   information, training, operating equipment, etc.);

    (d) the proposed date that the specific measures to reduce or sequester greenhouse gas emissions (described in Section II.A.4 above) will begin reducing or sequestering greenhouse gas emissions from sources and sinks (listed in Section II.A.3); and

   (e) the anticipated project lifetime: period, in years, over which the specific measures(described in Section II.A.4 above) are expected to reduce or sequester greenhouse gas emissions (calculated from initiation date above).

B. Sources of Funding for the Specific Measures to Reduce Greenhouse Gas Emissions

 The Panel desires general information about the sources of funding and relative shares of funding by the different sources. The Panel will require only enough information to ensure that the financial aspects of the project have been adequately considered, and that simple repackaging of federally or multilaterally funded projects does not occur. The Panel will make every effort to minimize the amount of information and the level of detail needed to provide these assurances.

 (1) Specify all sources and proposed sources of funding for the project and the approximate share of funding from each source, including all participants listed in Section I (Domestic and Foreign "Participants Involved in the Project").

 (2) For multilateral funding sources (such as multilateral development banks or the Global    Environmental Fund) which do not come directly from the participants listed in Section I, explain how these funds are considered in excess of those that would have been available for this type of project in the absence of USIJI. Please explain if and how the multilateral funds are being used to leverage additional private funding.

 (3) If federal funds are part of the funding for the specific measures to reduce or sequester greenhouse gas emissions, please explain why these funds are considered to be in excess of those available for such activities in fiscal year 1993. The groundrules for the USIJI require federally funded measures be "undertaken with funds in excess of those available for such activities in fiscal year 1993" in order to qualify for recognition in the USIJI pilot program.

C.  Assignment of Emissions Reductions

 If voluntary agreements among project participants have been concluded, specify the share or amount of greenhouse gas emissions reduced or sequestered that will be attributed to each of the participants, domestic and foreign (as listed in Section I), for each year over the lifetime of the project. The Panel will request verification or changes in this information in the required annual reports.

D. Additionality

 The groundrules for the USIJI criteria require that projects involve specific measures to reduce or sequester greenhouse gas emissions initiated as a result of the USIJI or in reasonable anticipation thereof. Project applicants will need to demonstrate to the satisfaction of the Panel that the measures undertaken or to be undertaken are above and beyond what would reasonably have been or be likely to occur otherwise. Reductions mav be of two types: reductions in greenhouse gas emissions from sources or sequestration of greenhouse gases through the enhancement of natural biotic sinks. In either case, the reduction or sequestration must be below that established by a credible base or reference case. The additionality requirement does not exclude projects which are profitable or cost-effective. The Panel acknowledges the difficulty in seeking to gauge why participants might undertake projects or specific measures, since most projects will be done for multiple reasons. At the same time, the integrity of the program will be undermined if participants simply repackage activities without change from what would otherwise be undertaken.

       The response should include the following items:

     (1) How the USIJI or reasonable anticipation thereof helped or could help overcome any barriers to developing or implementing the project.

      (2) A discussion of whether the specific measures taken by the project for reducing or sequestering greenhouse gas emissions are required by existing laws or regulations applicable in the U.S. or host country.

   (3) For the activities affected by the specific measures to reduce or sequester greenhouse gas  emissions(described in Section II.A.4 above), a description of the prevailing technologies and management practices now used in the host country and how the specific measures described  II.A.4 differ from them.

 E. Acceptance by the National or Federal Government of the Host Country

     Provide written evidence from the designated responsible ministry of the host country that the project is acceptable to the national or federal government of the project's host country, for inclusion in the USIJI program.

F. Technical Assistance

        Please specify whether technical assistance from the USIJI will be requested for the project. If technical assistance will be required, please specify the type of assistance and estimate the level of funding or in-kind assistance required.

III. Greenhouse Gas Emissions and Sequestration

 Estimates of greenhouse gas emissions and sequestration should be provided in a transparent manner.  Established principles and methodologies are preferred, but new methodologies will be considered if accompanied by adequate documentation. At a minimum, all estimates of greenhouse gas emissions should:

    Present the methodologies, data and calculations used to estimate emissions reductions and carbon sequestration in a transparent manner.

     Give emissions estimates for each greenhouse gas in kilograms or metric tons.

     Identify all assumptions used in the calculation, including external factors influencing greenhouse gas emissions over the term of the project both in the absence of the project and with the project, such as energy and input prices, relevant product prices and sales (e.g. timber prices), effects of regulation, and general economic and technological trends.

    Identify and discuss key uncertainties affecting the emissions estimates.

   Describe or provide references/citations for all models used in the process.

A. Baseline Estimate of Emissions and/or Sequestration of Greenhouse Gases Without Measures

 Applicants should develop a reference or baseline case for emissions or sequestration processes without the proposed measures. This reference case should describe the existing technology and/or practices at the facility, or site and associated sources and sinks of greenhouse gas emissions.

 (1) Estimate the emissions from sources and sequestration of greenhouse gases by sinks described in II.A.3 for a full year (12 consecutive months) ending before the date of initiation of the project     (II.A.5.a). The year chosen should be representative of the activities at the site prior to the project. If historical data is not available or if the project represents new construction, you may estimate pre-existing greenhouse gas emissions levels and provide an appropriate explanation of how such estimates were made.

 (2) Estimate the emissions from sources and sequestration of greenhouse gases by sinks described in II.A.3 for each year after the date of initiation of the project (II.A.5.a) over the lifetime of the project without the specific measures to reduce or sequester emissions of greenhouse gases (described in II.A.4). Applicants are reminded that future greenhouse gas emissions levels, even in the absence of their project, may differ from past levels due to growth, technological changes, input prices, product prices, and other exogenous factors.

B. Estimates of Emissions and Sequestration of Greenhouse Gases With Measures

 (1) Estimate the emissions from the sources and sequestration of greenhouse gases by sinks (described in II.A.3) over the lifetime of the project with the specific measures (described in II.A.4).

 (2) Estimate the effect of the project and measures listed in II.A.3 on greenhouse gas emissions from sources and sequestration by sinks not described in II.A.3 (i.e., source and sinks not at the immediate facility or site) over the lifetime of the project. This estimate should include any significant anticipated indirect or secondary greenhouse gas emissions effect of the project, such as effects on a neighboring site, greenhouse gas emissions from project construction, activity shifting and other potential effects.

 (3) Discuss factors that could cause the anticipated greenhouse gas emissions reductions and/or sequestration to be lost or revised in future years.

   (4) Identify the steps being taken to reduce the risks in III.B.3 or to insure that the effects of the proposed measures will not be lost or reversed in the future. Specify the parties responsible for carrying out these steps.

C. Monitoring Greenhouse Gas Emissions and Updating Emissions Estimates

  (1) Describe the process to be used to monitor the greenhouse gas emissions reductions, including:

  (a) party(ies) responsible for monitoring greenhouse gas emissions and greenhouse gas emissions reductions/sequestration over the lifetime of the project;

     (b) the specific data that will be used to monitor greenhouse gas emissions and greenhouse gas emissions reductions/sequestration (activity, inputs, greenhouse gas emissions, etc.);

       (c) data collection procedures, including a description of the sampling methodologies, emissions monitoring equipment, and methodologies for estimating emissions/sequestration from the raw data; and

  (d) a proposed schedule for monitoring activities.

 (2) Describe how monitoring data and any other information will be used to periodically update the baselines and greenhouse gas emissions projections described in Sections III.A. 1 through III.B.3.

D. External Verification

 Describe the provisions in the project for external verification of greenhouse emissions reductions or sequestration; including the following:

 (1) Certifications that you will agree to allow external verification of greenhouse gas emissions reductions or sequestration by the Panel, its designed or a party(ies) you name at a later date (subject to approval by the Panel)

  (2) The data, procedures and methodologies that will or may be used to verify greenhouse gas emissions reductions or sequestration.

 If you plan to arrange for external verification at this time, also include:

 (3) The name(s) qualifications(s), and affiliation(s) of the party(ies) responsible for conducting the external verification activities.

 (3) A proposed schedule for conducting and reporting on external verification activities.
 

IV. Other Considerations

 Though the primary goal of the USIJI is to contribute to the development of joint implementation as a means to reduce greenhouse gas emissions, other impacts and benefits of proposed projects will be considered.  Nongreenhouse gas benefits, while not required for approval, may improve a project's overall evaluation by contributing to the broader sustainable development goals of the USIJI. For example, an integrated gasification/combined cycle power plant could reduce local air pollution by increasing generation efficiency over standard technologies; a forest or an agricultural management project could help improve local water quality, reduce soil erosion, and preserve biodiversity; a biomass cogeneration plant could contribute to local economic development; an end-user appliance efficiency project could increase public participation and build local institutional capacity.

 Although applicants are not required to submit detailed environmental impact statements as a condition of approval, the Panel will also consider any potential negative impacts in its evaluation of projects.

  A. Nongreenhouse Gas Environmental Impacts of the Project

 (1) Describe any significant nongreenhouse gas environmental impacts, both positive and negative, that are anticipated as a result of the specific measures to reduce or sequester emissions. If the measures are part of construction of a larger project, please also describe any significant nongreenhouse gas environmental impacts, both positive and negative, that are anticipated as a result of the larger project.  Include effects on air, water, soil, human health and biodiversity.

 (2) For each significant negative environmental impact described above, discuss any steps that will be taken to mitigate it.
 

B.  Development Impacts of the Project

 Describe the potential positive and negative non-environmental effects of the project, including but not limited to: economic development, cultural and gender effects, sustainability, technology transfer, public participation, and capacity building.

 C. Efforts to Reduce Domestic Greenhouse Gas Emissions by U.S. Participants.

 If domestic participants listed in Section I.A are emitters of greenhouse gas within the U.S., describe what steps they are taking to reduce or sequester those emissions. Please include all of the following information:

  (1) Total U.S. emission of greenhouse gases for each participant.

 (2)  Projected U.S. greenhouse gas emissions for each participant over the lifetime of the projects.

 (3) Projected reductions or sequestration of U.S. greenhouse gas emissions for each participant over the lifetime of the project.

 (4) A description of the steps that are being taken by the participants to reduce or sequester their U.S. emissions of greenhouse gases over the lifetime of the project.

D. Other Information You May Wish the Panel to Consider.
 

V. General Provisions

A. Confidential Business Information

 Applicants may claim as confidential information they submit as part of their proposal to the USIJI. If you wish to assert a claim of confidentiality, you must mark the response "CONFIDENTIAL BUSINESS INFORMATION" or with similar designation, and must bracket all text so claimed. Information so designated will be disclosed by USIJI only to the extent allowed by, and by means of, the procedures set forth in; 40 CFR Part 2. If you fail to claim the information as confidential upon submission it may be made available to the public without further notice.

   Applicants are further advised that a basic purpose of USIJI is to contribute to domestic and international learning about joint implementation at the project level. The Evaluation Panel reserves the right not to include projects, which, due to claims of confidentiality, will not serve this purpose effectively.

B. Monitoring and Verification

   Applicants will be responsible for establishing and implementing the monitoring protocols as presented in their proposals, and for promptly advising the Evaluation Panel in writing of the need and justification for any subsequent revisions.

   As noted in Section III.D., "External Verification", projects naming participants and protocols for verification of emissions reductions and sequestration, are subject to approval by the Evaluation Panel. Applicants are further advised that USIJI status requires participants to allow external verification of greenhouse gas emissions reductions or sequestration by the Evaluation Panel, its designed or a party(ies) named at a later date subject to approval by the Evaluation Panel. Such verification may include third-party inspection of documentation of emissions reductions, or site visits to the project, and could occur even if the applicants provide a verification plan.

 C. Withdrawal From USIJI

 Should applicants wish to withdraw from the USIJI Program after their proposed project has been    approved by the Evaluation Panel, they may do so by notifying the Secretariat in writing without penalty and without subject to remedies at law or equity. However, the applicant must immediately discontinue the use of any reference to its association with the USIJI Program in any of its publications and written or oral communications, and discontinue the use of any USIJI materials publicizing the program, including the use of the USIJI logo.

 D. Annual Reports

 The groundrules for the USIJI require projects to file an annual report in accordance with guidelines developed by the Evaluation Panel. The report will include:

   A progress report on project design and implementation.

  Monitoring data and analysis on emissions reduced or sequestered.

   The share of such emissions reductions attributed to each of the project participants.

   Verification activities.

   Any modifications of baselines or projected emissions reductions.

   Significant environmental impacts/benefits.

   Significant economic and other impacts/benefits.

 The Evaluation Panel will provide projects accepted into the USIJI portfolio with further guidance as to the format for the annual reports.

E. Promotional Cooperation

 Participants in the program with projects approval by the Evaluation Panel are permitted to use the USIJI logo in their advertising and public relations activities. In turn, participating entities and individuals agree to cooperate in efforts to publicize and promote the USIJI Program, which could include the use of their names and project descriptions in program materials and reports to international organizations, including the Intergovernmental Negotiating Committee and Conference of the Parties.

VI.  Required Certification

 The following certification, signed by all responsible participants named in Section I, must appear as part of your proposal to the USIJI Evaluation Panel:

 "We the undersigned have each reviewed this proposal as submitted and to the best of our knowledge and belief certify that all information provided therein is accurate and complete. Further, the undersigned acknowledge that they have read and understand the General Provisions of the Guidelines for USIJI Project Proposal and agree to comply therewith."