Template 3: Description of QA/QC Procedures

1: Institutional Arrangements 2: Methods and Data Documentation 3: Description of QA/QC Procedures 4: Description of Archi ing !"stem #: $e" Categor" Anal"sis %: &ational In entor" Impro ement Plan

Country Representative Contact Information

Country: Contact Name: Title: r!ani"ation: Postal Address: Phone Number: E-Mail: #R$:

Instructions
The implementation of quality assurance and quality control (QA/QC) procedures is an important part of the development of national greenhouse gas inventories. As described in the I CC !ood ractice !uidance and the latest I CC !uidelines ("##$)% an adequate QA/QC program helps improve transparency% consistency% comparability% completeness% and confidence in national !&! inventories. Countries should use this 'ord document to enter country(specific data and for preparing final plans. The green te)t is used to provide instructions and guidance throughout the template as *ell as *ithin tables. In the final plan% all green te)t should be deleted% and country( specific information should be used in its place.

Step-by-Step Instructions
STEP 1: Review the main elements of a QA/QC plan STEP 2: List ke QA/QC pe!sonnel an" an #o$nt! % spe#ifi# a""itional QA/QC !esponsi&ilities STEP 3: Complete the Tie! 1 QA/QC #he#klist STEP ': Complete the Tie! 2 QA/QC #he#klist as app!op!iate STEP (: Complete the list of e)te!nal !eviewe!s STEP *: P!ovi"e imp!ovements to the QA/QC plan

+tep(by(step instructions are listed in the bo) above. ,ach step is e)plained in detail in the corresponding section of the template.

3.2

Quality Assurance/Quality Control (QA/QC) Procedures

3.1. Background Q$alit ass$!an#e an" +$alit #ont!ol meas$!es a!e two "istin#t t pes of a#tivities. The ,PCC "efines ea#h as follows: Qualit" Assurance 'QA( - a planne" s stem of !eview p!o#e"$!es #on"$#te" & pe!sonnel not involve" in the invento! "evelopment p!o#ess. Qualit" Control 'QC( - a s stem of !o$tine te#hni#al a#tivities implemente" & the invento! "evelopment team to meas$!e an" #ont!ol the +$alit of the invento! as it is p!epa!e". Pe!sonnel !esponsi&le fo! #oo!"inatin. QA/QC a#tivities. /ene!al 0Tie! 11 QC p!o#e"$!es. So$!#e%spe#ifi# 0Tie! 21 QC p!o#e"$!es. QA !eview p!o#e"$!es. Repo!tin.2 "o#$mentation2 an" a!#hivin. p!o#e"$!es.

An effe#tive QA/QC plan #ontains the followin. elements:

Ea#h of these elements a!e "es#!i&e" in mo!e "etail &elow. 3.2. QA/QC Plan +T, -. /ill out each subsection to document or develop the various elements of your country0s QA/QC plan. 1nce developed% use the plan in subsequent inventory preparation. 2odify the plan as necessary to reflect ne* processes. A w!itten QA/QC plan is a f$n"amental element of a QA/QC s stem. This plan o$tlines QA/QC a#tivities pe!fo!me"2 the pe!sonnel !esponsi&le fo! these a#tivities2 an" the s#he"$le fo! #ompletin. these a#tivities. The followin. se#tions "es#!i&e the QA/QC plan that 3country4 plans to follow to ens$!e a hi.h +$alit national invento! .

3.3

3.3. QA/QC Personnel +T, ". 5ist responsibilities for the QA/QC coordinator. /ill out Table 6.- belo* *ith the names and contact information for appropriate staff person(s) responsible for each activity listed. Insert as many ro*s *ithin the table belo* as necessary to provide the detailed information for each activity listed. The QA/QC #oo!"inato! is the main pe!son !esponsi&le fo! implementin. the QA/QC plan. ,n this !ole2 the QA/QC #oo!"inato!: Cla!ifies an" #omm$ni#ates QA/QC !esponsi&ilities to invento! mem&e!s. 3evelops an" maintains QA/QC #he#klists app!op!iate to va!io$s invento! team mem&e! !oles. (+ee Table 6." and Table 6.6 for e)amples) Ens$!es the timel an" a##$!ate #ompletion of QA/QC #he#klists an" !elate" a#tivities. 3evelops an ove!all QA/QC timeline an" when e)te!nal !eviews will o##$!. 4ana.es an" "elive!s "o#$mentation of QA/QC a#tivities to the invento! lea" an" a!#hive #oo!"inato!. Coo!"inates e)te!nal !eviews of the invento! "o#$ment an" ens$!es that #omments a!e in#o!po!ate" into the invento! .

,n this !ole2 the QA/QC #oo!"inato! #omm$ni#ates with seve!al othe! invento! mem&e!s. Ta&le 3.1 s$mma!i5es the ke pe!sonnel !esponsi&le fo! QA/QC a#tivities.

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Table %&': Personnel Responsible for (A)(C Activities

Title Inventory Lead QA/QC Coordinator Category Lead(s) (A)(C Responsibility All aspects of the inventory program, cross, cutting QA/QC Implementing the overall QA/QC plan Implementing category specific QA/QC procedures (Tier 1 and Tier procedures listed in Ta!le "# and "#" !elo$) &'pert revie$ of the inventory Name r!ani"ation Contact Information

%utside &'pert(s)

3. . Communicating t!e QA/QC Plan ,t is essential to #omm$ni#ate the #ontents of the QA/QC plan to invento! team mem&e!s an" o$tsi"e e)pe!ts so that the p!o#e"$!es #an &e effe#tivel implemente"2 eval$ate"2 an" imp!ove". The QA/QC #oo!"inato! fo! 3Country4 will implement the followin. p!o#e"$!es fo! the QA/QC plan: Convene a meeting *ith all team members to develop a QA/QC plan. 'rite and distribute a QA/QC plan to all team members required to perform QA/QC. Conduct a 78ic8(off9 meeting *ith all of those *or8ing on the inventory (including consultants% universities% etc)% introduce plan and distribute QC chec8lists (this can be completed in con:unction *ith the inventory 8ic8(off meeting) +end memos (*ritten or electronic) reminding team members of their QA/QC responsibilities and overall schedule. 65ist additional *ays of communicating the QA/QC plan 7.

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3.". #eneral $Tier 1% QC Procedures for &ource/&ink Categor' (eads +T, 6. As each item in Table 6." belo* is completed% enter the name or initials of the person completing the item and the date the item *as completed. Insert as many ro*s *ithin the table belo* as necessary to provide the detailed information for QA/QC procedures. A##o!"in. to the 288* ,PCC /$i"elines2 altho$.h .ene!al QC p!o#e"$!es a!e "esi.ne" to &e implemente" fo! all #ate.o!ies an" on a !o$tine &asis2 it ma not &e ne#essa! o! possi&le to #he#k all aspe#ts of invento! inp$t "ata2 pa!amete!s an" #al#$lations eve! ea!. A !ep!esentative sample of "ata an" #al#$lations f!om eve! #ate.o! ma &e s$&9e#te" to .ene!al QC p!o#e"$!es ea#h ea!. ,n esta&lishin. #!ite!ia an" p!o#esses fo! sele#tin. sample "ata sets an" p!o#esses2 it is .oo" p!a#ti#e fo! the invento! #ompile! to plan to $n"e!take QC #he#ks on all pa!ts of the invento! ove! an app!op!iate pe!io" of time as "ete!mine" in the QA/QC plan. A minim$m set of QC p!o#e"$!es a!e followe" ea#h ea! fo! all #ate.o!ies to ens$!e that &asi# stan"a!"s of +$alit a!e met. These stan"a!"s .ene!all fo#$s on the p!o#essin.2 han"lin.2 "o#$mentin.2 a!#hivin.2 an" !epo!tin. p!o#e"$!es #ommon to all #ate.o!ies. Ta&le 3.2 lists the spe#ifi# Tie! 1 QC a#tivities pe!fo!me" & 3country42 an" a #he#klist fo! when these a#tivities we!e #omplete".

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Table %&*: +eneral ,Tier '- (C Activities

(C Activity Tas. Completed Name) /ate Initials /ata +atherin!1 Input1 and 2andlin! Chec.s Cross)chec( descriptions of activity data and emission factors $ith information on categories and ensure that these are properly recorded and archived# Procedures Confirm that !i!liographical data references are properly cited in the internal documentation (*++ template report) Cross)chec( a sample of input data from each category (either measurements or parameters used in calculations) for transcription errors# ,tili-e electronic data $here possi!le to minimi-e transcription errors# Chec( that spreadsheet features are use d to minimi-e user/entry error. o Avoid hard$iring factors into formulas# o Create automatic loo()up ta!les for common values used throughout calculations# o ,se cell protection so fi'ed data cannot accidentally !e changed# o /uild in automated chec(s, such as computational chec(s for calculations, or range chec(s for input data# 0eproduce a representative sample of emissions/removals calculations# If models are used, selectively mimic comple' model calculations $ith a!!reviated calculations to 1udge relative accuracy# Chec( that units are properly la!eled in calculation sheets and (*++ template report) Chec( that units are correctly carried through from !eginning to end of calculations# Chec( that conversion factors are correct# Chec( that temporal and spatial ad1ustment factors are used correctly# 3.: Corrective Measure Ta.en 0upportin! /ocuments ,$ist /ate /ocument Name-

Chec( that assumptions and criteria for the selection of activity data and emission factors are documented# Chec( for transcription errors in data input and reference#

Chec( that emissions/removals are calculated correctly# Chec( that parameter and emission/removal units are correctly recorded and that appropriate conversion factors are used#

Chec( the integrity of data!ase files#

Chec( for consistency in data !et$een categories# Chec( that the movement of inventory data among processing steps is correct# 0evie$ of internal documentation and archiving#

Chec( methodological and data changes resulting in recalculations#

Confirm that the appropriate data processing steps are correctly represented in the data!ase# Confirm that data relationships are correctly represented in the data!ase# &nsure that data fields are properly la!eled and have the correct design specifications# &nsure that ade2uate documentation of data!ase and model structure and operation are archived# Identify parameters (e#g#, activity data, constants) that are common to multiple categories and confirm that there is consistency in the values used for these parameters in the emissions/removals calculations# Chec( that emissions/removals data are correctly aggregated from lo$er reporting levels to higher reporting levels $hen preparing summaries# Chec( that emissions/removals data are correctly transcri!ed !et$een different intermediate products# /ata /ocumentation Chec( that there is detailed internal documentation to support the estimates and ena!le duplication of calculations# Chec( that every primary data element has a reference for the source of the data (via cell comments or another system of notation)# Chec( that inventory data, supporting data, and inventory records are archived and stored to facilitate detailed revie$# Chec( that the archive is closed and retained in secure place follo$ing completion of the inventory Chec( integrity of any data archiving arrangements of outside organi-ations involved in inventory preparation# Calculation Chec.s Chec( for temporal consistency in time series input data for each category# Chec( for consistency in the algorithm/method used for calculations throughout the time series# 0eproduce a representative sample of emission calculations to ensure

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mathematical correctness# Chec( for temporal consistency in time series input data for each category# Chec( for consistency in the algorithm/method used for calculations throughout the time series# Chec( methodological and data changes resulting in recalculations# Chec( that the effects of mitigation activities have !een appropriately reflected in time series calculations# Chec( completeness Confirm that estimates are reported for all categories and for all years from the appropriate !ase year over the period of the current inventory# 3or su!categories, confirm that the entire category is !eing covered# 4roved clear definition of 5%ther6 type categories# Chec( that (no$n data gaps that result in incomplete category emissions/removals estimates are documented, including 2ualitative evaluation of the importance of the estimate in relation to total net emissions (e#g# su!categories classified as 5not estimated6)# Trend chec(s 3or each category, compare current inventory estimates to previous estimates, if availa!le# If there are significant changes or departures from e'pected trends, re)chec( estimates and e'plain any difference# 7ignificant changes in emissions or removals from previous years may indicate possi!le input or calculation errors# Chec( value of implied emission factors (aggregate emissions/removals divided !y activity data) across time series# Are changes in emissions or removals !eing captured8 Chec( if there any unusual or une'plained trends noticed for activity data or other parameters across the time series# 7ource. This list has !een adapted from I4CC 9ood 4ractice 9uidance and the ::; I4CC 9uidelines for <ational 9=9 Inventories# Chec( time series consistency

3.). Categor'*specific $Tier 2% Procedures +T, ;. 5ist <ey Categories after completing Template = (<ey Category Analysis). Add or remove Tier " QC procedures from Table 6.6 as necessary.

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,n a""ition to the Tie! 1 QC p!o#e"$!es o$tline" in the p!e#e"in. se#tion2 3country4 follows Tie! 2 QC p!o#e"$!es fo! sele#t ke #ate.o!ies an"2 as !eso$!#es allow2 fo! othe! #ate.o!ies. These ke #ate.o!ies a!e: 65ist 8ey categories7. 3Country4 #on"$#ts the Tie! 2 QC p!o#e"$!es liste" in Ta&le 3.3 &elow.
Table %&%: Cate!ory-specific ,Tier *- (C Procedures
Tas. Completed (C Activity Assess the applica!ility of I4CC default factors Procedures &valuate $hether national conditions are similar to those used to develop the I4CC default factors Compare default factors to site or plant)level factors Consider options for o!taining country)specific factors +ocument results of this assessment QC the data used to develop the country)specific factor Assess $hether secondary studies used to develop country)specific factors used (at a minimum) Tier 1 QC activities Compare country)specific factors to I4CC defaults> document any significant discrepancies Compare country)specific factors to site or plant)level factors Compare to factors from other countries (using I4CC &mission 3actor +ata!ase) +ocument results of this assessment +etermine if national or international (e#g#, I7%) standards $ere used in measurements &nsure measurement e2uipment is cali!rated and maintained properly Compare direct measurements $ith estimates using a factor> document any significant discrepancies Name) Initials /ate Corrective Measure Ta.en 0upportin! /ocuments ,$ist /ocument Name/ate

0evie$ country)specific factors

0evie$ measurements

3.18

Tas. Completed (C Activity &valuate time series consistency Procedures 0evie$ significant (? 1:@) changes in year)over)year estimates for categories and su!)categories Compare top)do$n and !ottom)up estimates for similar orders of magnitude Conduct reference calculations that use stoichiometric ratios and conservation of mass and land +etermine the level of QC performed !y the data collection agency# If inade2uate, consider alternative data sources such as I4CC defaults and international data sets# Ad1ust the relevant uncertainty accordingly# &valuate time series consistency Compare activity data from multiple references if possi!le +etermine if national or international (e#g#, I7%) standards $ere used in estimates Compare aggregated site)specific data (e#g# production) to national statistics/data Compare data across similar sites Compare top)do$n and !ottom)up estimates for similar orders of magnitude Apply QC techni2ues to uncertainty estimates 0evie$ uncertainty calculations +ocument uncertainty assumptions and 2ualifications of any e'perts consulted Compare estimates to other national or international estimates at the national, gas, sector, or su!)sector level as availa!le Name) Initials /ate

Corrective Measure Ta.en 0upportin! /ocuments ,$ist /ocument Name/ate

0evie$ national level activity data

0evie$ site)specific activity data

QC uncertainty estimates

Aerify 9=9 estimates

3.11

3.+. QA Procedures +T, =. Complete Table 6.; *ith a list of e)ternal e)perts *ho have revie*ed the Inventory. If possible% these e)perts should be independent of the inventory agency% either from other national agencies% international organi>ations% or other relevant organi>ations *ith e)pertise. If third party revie*ers are unavailable% staff from another part of the inventory agency not involved in the portion of the inventory under revie* can fulfill this role. <ey categories (as outlined in Template =) should be given priority for revie*% as *ell as source categories *here significant changes in methodology or data have been made. E)pe!t !eview offe!s the oppo!t$nit to $n#ove! te#hni#al iss$es !elate" to the appli#ation of metho"olo.ies2 sele#tion of a#tivit "ata2 an" "evelopment an" #hoi#e of emission fa#to!s. =e#a$se of thei! knowle".e an" e)pe!ien#e in a!eas !elate" to the invento! 2 the liste" e)pe!ts an"/o! o!.ani5ations in"i#ate" in Ta&le 3.'2 &elow2 have &een in#l$"e" in the QA p!o#ess. Thei! #omments have &een !eviewe" an" a""!esse"2 as app!op!iate2 p!io! to the s$&mission of the ,nvento! .
Table %&3: E4ternal Revie5ers
Name r!ani"ation Area of E4pertise Contact Information Comment 0ummary

3.,. Proposed QA/QC Plan -mpro.ements +T, $. An important part of the QA/QC plan is continually improving the plan as appropriate (i.e.% *hen changes in processes occur or on the advice of independent revie*ers). /ill out Table 6.= *ith any planned QA/QC improvements. Insert as many ro*s *ithin the table belo* as necessary to provide the detailed information for each planned improvement. To enhan#e the invento! p!o#ess an" a##ompan in. emission estimates2 3country4 plans to implement the imp!ovements to the QA/QC plan liste" in Ta&le 3.(.
3.12

Table %&6: Improvements to the (A)(C Plan

Improvement 7 0ector Cate!ory Potential Improvement (A (C

3.13

3./. &upplemental QA/QC C!ecklists

QA/QC Coordinator Chec)list

Activities Clarify and communicate QA/QC responsi!ilities to inventory team mem!ers# +evelop and QA/QC chec(lists appropriate to roles on the inventory team# (See Table 3.2 and Table 3.3 in the Description of QA/QC Procedures Te plate for e!a ples" +istri!ute QA/QC chec(list to appropriate inventory team mem!ers and set deadline for completion# &nsure the timely and accurate completion of QA/QC chec(lists and related activities !y chec(ing in $ith team mem!ers# Collect completed QA/QC chec(lists and forms# 0evie$ completed QA/QC chec(lists and forms for completeness and accuracy# +eliver documentation of QA/QC activities to the inventory lead and archive coordinator# Coordinate e'ternal revie$s of the inventory document and ensure that comments are incorporated into the inventory# 7teps to coordinating e'ternal revie$ers include. (1) Identify e'ternal revie$ers (e#g# through category leads)# ( ) 7et revie$ schedule# (") &sta!lish revie$ format (e#g#, digital mar()up in Bord or &'cel)# (C) Contact e'ternal revie$ers informing them of the schedule and e'pectations# (D) +istri!ute Inventory draft for revie$# (;) Collect and compile revie$ comments# (E) +eliver compiled comments to inventory and document/archive coordinator (F) ,pdate inventory, as appropriate !ased on comments# Tas. Completed Name /ate

In entor" *ead Chec)list: Cross+Cutting Chec)s for , erall In entor" Qualit"

Activities Emission Calculations Across +2+ Emission and Removal Cate!ories Identify parameters that are common across categories (e#g# conversion factors, car!on content coefficients, etc#) and chec( for consistency Chec( that using same data inputs (e#g# animal population data) report compara!le values (i#e#, analogous in magnitude) Chec( across categories that same electronic data set is used for common data (e#g#, lin(ing animal population data to the enteric fermentation and manure management calculations) Chec( that the num!er of significant digits or decimal places for common parameters, conversion factors, emission factors, or activity data is consistent across categories Chec( that total emissions are reported consistently (in terms of significant digits or decimal places) across categories Chec( that emissions data are correctly aggregated from lo$er reporting levels to higher reporting levels %ther (specify). /ocumentation Chec( if internal documentation practices are consistent across categories %ther (specify). Tas. Completed Name /ate

Completeness Chec( for completeness across categories and years Chec( that data gaps are identified and reported as re2uired Compare current national inventory estimates $ith previous years6 %ther (specify).

Maintainin! Master Inventory 8ile: 0preadsheets and Inventory /ocument =ave file control procedures !een follo$ed8 %ther (specify).

3.1(

In entor" *ead Chec)list: Detailed Chec)list for In entor" Document

Activities 8ront 0ection Cover page has correct date, title, and contact address Ta!les of contents/ta!les/figures are accurate. titles match document, page Gs match> num!ers run consecutively and have correct punctuation The &'ecutive 7ummary and Introduction are updated $ith appropriate years and discussion of trends %ther (specify). Tas. Completed Name /ate

Tables and 8i!ures All num!ers in ta!les match num!ers in spreadsheets Chec( that all ta!les have correct num!er of significant digits Chec( alignment in columns and la!els Chec( that ta!le formatting is consistent Chec( that all figures are updated $ith ne$ data and referenced in the te't Chec( ta!le and figure titles for accuracy and consistency $ith content %ther (specify).

E9uations Chec( for consistency in e2uations Chec( that varia!les used in e2uations are defined follo$ing the e2uation %ther (specify).

References Chec( consistency of references, and that in te't citations and references match %ther (specify).

+eneral 8ormat All acronyms are spelled out first time and not su!se2uent times throughout each chapter All fonts in te't, headings, titles, and su!headings are consistent All highlighting, notes, and comments are removed from document 7i-e, style, and indenting of !ullets are consistent 7pell chec( is complete %ther (specify).

ther Issues Chec( that each section is updated $ith current year (or most recent year that

3.1*

inventory report includes) %ther (specify).

3.1: