EMEP/EEA air pollutant emission inventory guidebook

Transcription

1 Categry General guidance Title Inventry management, imprvement and QA/QC Versin Guidebk 2016 Lead authrs Justin Gdwin, Tinus Pulles Cntributing authrs (including t earlier versins f this chapter) Jhn van Ardenne, Lee Tly, Kristin Rypdal EMEP/EEA air pllutant emissin inventry guidebk

2 6. Inventry management, imprvement and QA/QC Cntents 1 Intrductin The inventry prcess Main bjectives and tasks The prcess Data flw Timeliness Institutinal arrangements Frmalising the inventry tasks and c-peratin Data delivery prtcls The inventry quality framewrk General What is QA/QC? QA/QC Plan QC prcedures QA prcedures Inventry management reprt Archiving, dcumentatin and reprting Inventry imprvement Using the QA/QC systems results Verificatin Glssary References Pint f enquiry Appendix A Elements t include in a transparent inventry reprt EMEP/EEA air pllutant emissin inventry guidebk

3 6. Inventry management, imprvement and QA/QC 1 Intrductin Maintaining gd inventry management principles will ensure the efficient and timely delivery f high quality inventry data. T d this an inventry management system needs t be established and shuld include: 1. a clear inventry prcess s that key activities and resurces can be fcused twards delivery deadlines and delivery quality; 2. institutinal arrangements: clearly defined rles and respnsibilities fr delivering the inventry t specified time and quality standards; 3. a quality framewrk t ensure that the data is fit fr purpse. An utline inventry management system is presented in Figure 1-1. This illustrates the imprtance f establishing rles and respnsibilities fr the delivery f the inventry as well as a QA/QC framewrk that ensures the quality f the inventry prcess and the inventry utputs. This chapter prvides guidance n hw t ensure that this cmplicated prcess results in an inventry submissin that is fully cmpliant with the reprting requirements f the LRTAP Cnventin and its prtcls (ECE.EB.AIR/125). Figure 1-1 Aspects f inventry management Institutinal Arrangements Respnsiblities Reprt t Cnventins, Manage Inventry Prcess, Rles Inventry Cmpilers, Data Prviders, Experts, Stakehlders, Arrangements Laws, Cntracts, MUs, Jb Descriptins Data Quality Review I n v e n t r y M a n a g e r Reprting Cnslidatin Data Prviders Data Inventry Cmpiler Natinal Authrity Lessns learned & Imprvement Review Data Data Raw data Cmpilatin Emissins Disseminatin Data Inventry Cmpilatin (3) Deliver data (2) Request data (4) Estimate emissins (1) Request inventry (5) Draft reprts (6) Reprt Priritisatin f Imprvements Data Cllectin All f this is basically a management task. It is gd practice t ensure that the verall prcess is managed by an explicitly appinted Inventry Manager, which can either be an individual r a frmally established cmmittee. The inventry manager is respnsible fr the inventry prcess: management f resurces, data acquisitin, internal and external deadlines, and inventry-related external cnsultant cntracts, etc. The inventry manager and the inventry cmpiler have different functins, that may r may nt be perfrmed by the same institute r individual. EMEP/EEA air pllutant emissin inventry guidebk

4 6. Inventry management, imprvement and QA/QC The inventry management guidance is designed t achieve practicality, acceptability, cst-effectiveness, incrpratin f existing experience, and the ptential fr applicatin n a wrld-wide basis. The inventry management system cntributes t the bjectives f gd practice in inventry develpment, namely t imprve transparency, cnsistency, cmparability, cmpleteness, and accuracy f natinal air pllutant inventries. The prcess presented in Figure 1-1 is very similar t the ne set up under the United Natins Framewrk Cnventin n Climate Change (UNFCCC) Cnventin, where the Intergvernmental Panel n Climate Change (IPCC) Guidelines and IPCC Gd Practice Guidance are t be fllwed (UNFCCC 2006). This chapter therefre is largely based n the Quality Assurance/Quality Cntrl and Verificatin chapter f the 2006 IPCC Guidelines (IPCC 2006). This Guidebk further elabrates the QA/QC and verificatin apprach as described in the IPCC 2006 Guidelines in that it mre explicitly aims at inventry imprvement, using the annual inventry cycle. It is gd practice that the cmpilatin f an inventry fr the submissin f year N builds explicitly n the experiences f earlier years submissins. NOTE 1: Since air pllutant inventries cver a wider range f pllutants as cmpared t greenhuse gas inventries, managing the cmpilatin f an air-pllutant emissin inventry is mre cmplicated. A cncept like Glbal Warming Ptential, enabling priritisatin acrss greenhuse gases is nt available r even pssible fr the wide range f air pllutants. NOTE 2: Targets, set under the Lng-Range Transbundary Air Pllutin (LRTAP) Cnventin and its prtcls and under the Eurpean Unin Natinal Emissin Ceilings (EU NEC) Directive are expressed as abslute levels f emissins fr individual pllutants, rather than reductin percentages f an aggregated indicatr. Tgether with the fact that these targets are almst directly linked t effects as described by critical lads, the cncept f inventry imprvement has a slightly different meaning as cmpared with the greenhuse gas emissins prcess. Fr this reasn, this guidebk expands n the guidance as prvided by IPCC 2006 Guidelines in further elabrating the inventry imprvement prcess. EMEP/EEA air pllutant emissin inventry guidebk

5 6. Inventry management, imprvement and QA/QC 2 The inventry prcess 2.1 Main bjectives and tasks The main bjective f the inventry prcess is t respnd t the reprting bligatin under the LRTAP Cnventin and its prtcls. Since this bligatin fllws frm the signature and ratificatin f an internatinal agreement, the verall respnsibility fr this reprting lies with the natinal authrities. The United Natins Ecnmic Cmmissin fr Eurpe (UNECE) Guidelines fr reprting emissins and prjectins data ECE/EB.AIR/125 ( 1 ) clearly define a deadline and a set f quality criteria. It is gd practice fr the inventry t be transparent, cnsistent, cmparable, cmplete and accurate. Transparency Cnsistency Transparency means that the data surces, assumptins and methdlgies used fr an inventry shuld be clearly explained, in rder t facilitate the replicatin and assessment f the inventry by users f the reprted infrmatin. The transparency f inventries is fundamental t the success f the prcess fr the cmmunicatin and cnsideratin f the infrmatin. The use f the Nmenclature Fr Reprting (NFR) tables and the preparatin f a structured Infrmative Inventry Reprt (IIR) cntribute t the transparency f the infrmatin and facilitate natinal and internatinal reviews Cnsistency means that an annual inventry shuld be internally cnsistent fr all the reprted years fr all elements acrss sectrs, categries and pllutants. An inventry is cnsistent if the same methdlgies are used fr all f the years f the inventry and if cnsistent data sets are used t estimate emissins. Fr prjectins, cnsistency als means that a year f the submitted inventry is used as a base year. Cmparability Cmparability means that estimates f emissins reprted by Parties in their inventries shuld be cmparable. Fr that purpse, Parties shuld use the accepted methdlgies as elabrated in the Reprting Guidelines and the NFR frmats fr making estimatins and reprting their inventries Cmpleteness Cmpleteness means that an annual inventry cvers at least all surces, as well as all pllutants, fr which methdlgies are prvided in the latest EMEP/EEA air pllutant emissin inventry guidebk r fr which supplementary methdlgies have been agreed t by the Executive Bdy. Cmpleteness als means the full gegraphical cverage f the surces f a Party. Where numerical infrmatin n emissins under any surce categry is nt prvided, the apprpriate ntatin key defined in the Reprting Guidelines shuld be used when filling in the reprting template and their absence shuld be dcumented Accuracy Accuracy means that emissin estimates shuld be accurate in the sense that they are systematically neither ver nr under true emissins, as far as can be judged, and that uncertainties are reduced as far as practicable. Apprpriate methdlgies ( 1 )The LRTAP Cnventin Reprting Guidelines and annexes are available nline frm the CEIP website ( EMEP/EEA air pllutant emissin inventry guidebk

6 6. Inventry management, imprvement and QA/QC shuld be used, in accrdance with sectin V belw, t prmte accuracy in inventries 2.2 The prcess It is gd practice that the inventry prcess is set up such that bth the deadlines and the quality criteria f the Reprting Guidelines are met. The full inventry prcess is schematically given in Figure 2-1. The prcess cmprises six distinctive steps, between three types f tasks: parties t the LRTAP Cnventins, typically via their Ministry f Envirnment, have the final respnsibility within the cuntry fr cmplying with the bligatins under the Cnventin and its prtcls as specified by the Reprting Guidelines (ECE/EB.AIR/2008/4); inventry cmpiler(s) and several institutins prepare the bligatry submissins fllwing the requirements f the reprting bligatins under the Cnventin and prtcls; data prviders, such as the Natinal Statistics Office, several ministries, facility peratrs, regulatry authrities, and research institutes prvide infrmatin t inventry cmpilers. Figure 2-1 Schematic representatin f the inventry prcess I n v e n t r y M a n a g e r Data Prviders Data Inventry Cmpiler Natinal Authrity Data Data Raw data Cmpilatin Emissins Disseminatin Data (2) Request data (1) Request inventry (3) Deliver data (4) Estimate emissins (5) Draft reprts (6) Reprt EMEP/EEA air pllutant emissin inventry guidebk

7 6. Inventry management, imprvement and QA/QC These six successive steps are: Step 1) Step 2) Step 3) Step 4) Step 5) Step 6) a natinal authrity must respnd t a reprting bligatin and requests a draft emissin inventry and a draft inventry reprt. It is the respnsibility f the inventry cmpiler t deliver these drafts within a predefined budget in time and resurces; t perfrm this task the inventry cmpiler will need data and requests these frm the data prviders; the data prviders deliver these data, serving as the raw data needed t estimate emissins, t the inventry system,; during inventry cmpilatin, the inventry cmpiler will use the raw data t estimate emissins; the inventry cmpiler prepares draft reprting frmats and accmpanying inventry reprts and delivers these t the natinal authrity; the natinal authrity endrses the draft inventry and reprt and submits these t the Cnventin. 2.3 Data flw The Cnventin and its prtcls ( 2 ) require annual reprting. This means that the full cycle f the inventry prcess as drawn up in Figure 2-1 is als an annual prcess and it is gd practice t cmplete this full cycle within ne year. The Reprting Guidelines (ECE/EB.AIR/2008/4) require annual inventries t be cnsistent ver time. Inventry cmpilatin is a data-intensive prcess. These data include statistical data n activities in the cuntry: energy statistics industrial prductin statistics and data n installed prductin technlgies agriculture statistics transprt statistics demgraphic data and census and questinnaire results ther. Many f these data are cllected within each cuntry fr ther reasns than fr cmpiling emissin inventries: they are needed fr decisin making in all plicy fields and in many cases must be reprted t internatinal rganisatins. It is gd practice t use statistical data, reprted in ther natinal and internatinal reprting bligatins, als in the natinal inventry t ensure cnsistency amngst different natinal reprts. The inventry prcess therefre needs a strng and cntinuus flw f data frm natinal statistical ffices, ministries and ther institutes that cllect such data fr ther reprting bligatins and ther natinal use. 2.4 Timeliness An imprtant issue in this dataflw can be t slve any deadline prblems. In a number f surce categries it might very well happen that the statistical data are cmpiled using a time schedule that des nt lead t timely availability f the required data fr the latest year in the inventry under preparatin. ( 2 ) And the NEC Directive fr the EU Member States. EMEP/EEA air pllutant emissin inventry guidebk

8 6. Inventry management, imprvement and QA/QC Since the deadlines in the Reprting Guidelines are fixed, either ne f the tw pssible slutins must be chsen: agree with the data prvider t speed up the statistical data cllectin prcess, such that these data will be available n time fr the emissin estimatin; agree with the data prvider t use preliminary data and hw t btain these fr the latest year in the inventry. This will ften be the case fr energy and ther prductin statistics, that typically take mre time t cllect and publish than is available within the deadlines f the inventry submissin. The first ptin will, in mst cases, nt be realistic, since statistical prcedures within a cuntry are generally well established and cmplicated. Use f the secnd ptin, hwever, will pssibly lead t the updates f the activity data used, nce the underlying statistics have been finalized. This des nt need t be a prblem, since all emissin reprting bligatins allw fr recalculatins f emissins. 3 Institutinal arrangements 3.1 Frmalising the inventry tasks and c-peratin In a typical emissin inventry prcess many institutes and stakehlders are invlved. The deadlines are tight and cmplicated data flws are needed t meet the quality targets f the inventry. It is gd practice t set up a system f frmal agreements between the institutins invlved, describing wh des what when and what will happen if they d nt. Examples f such arrangements are: laws and ther frmal legislatin, requesting (statistical) data t be delivered t the inventry cmpilers befre a specific date; cntracts: a cntract is a legally-binding exchange f prmises r agreement between parties that the law will enfrce; memrandums f understanding (MUs); an MU is a legal dcument describing a bilateral r multilateral agreement between parties. It expresses a cnvergence f will between the parties, indicating an intended cmmn line f actin and may nt imply a legal cmmitment. It is a mre frmal alternative t a gentlemen's agreement, but in sme cases, depending n the exact wrding, lacks the binding pwer f a cntract; a gentlemen's agreement is an infrmal agreement between tw r mre parties. It may be written r ral. The essence f a gentleman's agreement is that it relies upn the hnur f the parties fr its fulfilment, rather than being in any way enfrceable. It is gd practice t supprt the inventry cmpiler with this system f institutinal arrangements in meeting the quality and timing requirements f the reprting bligatin. It shuld ensure that all data needed are delivered n time. NOTE: It is gd practice t identify a single, unambiguus rganisatin with this respnsibility f a natinal authrity. A Party culd chse t link this respnsibility t the natinal entity as defined within the Kyt Prtcl reprting prvisins. EMEP/EEA air pllutant emissin inventry guidebk

9 6. Inventry management, imprvement and QA/QC The inventry cmpiler will ensure that the fllwing fur aspects are in place and well-functining: a smth and timely data flw frm all data prviders int the inventry cmpilatin prcess (subsectins 2.3 and 2.4 f the present chapter) that shuld be based n the institutinal arrangements supprting the inventry prcess (Sectin 3 f the present chapter); an inventry quality framewrk, that ensures that the inventry is cmpiled meeting the quality criteria and deadlines as defined in the Reprting Guidelines (Sectin 4 f the present chapter); a dcumentatin and archiving system that ensures the transparency f the prcess and allws fr external review (Sectin 5 f the present chapter); an inventry imprvement apprach that uses the experiences frm earlier inventries in imprving the current and future nes (Sectin 6 f the present chapter). 3.2 Data delivery prtcls T ensure the timely availability and cnsistency f all data needed it is gd practice t establish sme frm f frmal arrangements between the inventry cmpiler and the respective data prviders as part f r annex t the institutinal arrangements discussed abve. It is gd practice that such a frmal agreement (a data delivery prtcl ) clearly describes what data are needed when and in what frmat these data will be delivered. It is gd practice that each agreement includes: a cntact persn r ( ) address fr bth the specific data prvider and the inventry cmpiler; an agreed data frmat (text file, spreadsheet r database file r any ther frmat); the cntents in this frmat in terms f attributes r fields; a deadline; a prcedure t accmmdate any findings frm the QA/QC prcedures. It is advisable t als include a brief descriptin f what will happen if the data prvider is nt able t deliver the data as agreed in the data prtcl. In such cases the inventry cmpiler will have n ther chice than t apprximate these data t develp at least a first preliminary estimate fr the surce categry. 4 The inventry quality framewrk 4.1 General Cmpiling an inventry is an annual prcess. It is gd practice t set up a management prcess invlving a management plan at the beginning f each cycle and an evaluatin at the clsure f the cycle, prviding prpsals fr imprvements (Figure 4-1). The evaluatin f cmpleted cycle feeds int the management plan f the next. Fllwing the terminlgy f the IPCC 2006 Guidelines, this Guidebk will call the management plan the QA/QC plan. The QA/QC plan fr the inventry establishes all prcedural and technical issues t prduce an inventry that cmplies with the requirements f the Cnventin fr a specific year N. The QA/QC plan directs activities and attentin t ensure the quality f the inventry while it is being cmpiled. It is essentially an internal annual plan, but it is gd practice t make this plan publicly available, fr instance via a web site. The inventry manager ensures that all institutes keep t the prcedures and agreements as laid dwn in the QA/QC plan. EMEP/EEA air pllutant emissin inventry guidebk

10 6. Inventry management, imprvement and QA/QC It is gd practice t clse the inventry management cycle by the prductin f an inventry management reprt (see subsectin 4.6 belw). The inventry management reprt evaluates the inventry prcess and prvides prpsals fr updates f the QA/QC plan. Als, the inventry management reprt is essentially an internal annual reprt, which culd als be made publicly available tgether with the QA/QC plan. When the cuntry decides t cmbine the QA/QC plan (fr year N) and the inventry management reprt (fr year N 1) in ne dcument, bth parts shuld be clearly separated in this dcument. Figure 4-1 Inventry management cycle Reprting Data Quality Review Lessns learned & Imprvement Review Inventry Management reprt Cnslidatin QA/QC plan Inventry Cmpilatin Priritisatin f Imprvements Data Cllectin Althugh this Guidebk takes a brader scpe as cmpared t the similar chapter in the IPCC Guidelines, the guidance prvided here and the vcabulary used are fully cnsistent with the IPCC 2006 Guidelines (IPCC 2006) and the IPCC Gd Practice Guidance (IPCC 2000). The IPCC 2006 Guidelines prvide additinal details especially in the area f QA and QC, which is nt repeated in this chapter. The reader is referred t the IPCC 2006 Guidelines chapter n Quality Assurance/Quality Cntrl and Verificatin (IPCC (2006, Vlume 1, chapter 6). 4.2 What is QA/QC? An imprtant gal f this inventry guidance is t supprt the develpment f natinal air pllutant inventries that can be readily assessed in terms f quality. It is gd practice t implement quality assurance/quality cntrl (QA/QC) and verificatin prcedures as an integral part in the inventry management apprach t accmplish this gal. The terms quality cntrl, quality assurance, and verificatin are ften used in different ways. The fllwing definitins f QC, QA, and verificatin will be used fr the purpses f this guidance ( 3 ). ( 3 ) These definitins are cpied frm the IPCC 2006 Guidelines. EMEP/EEA air pllutant emissin inventry guidebk

11 6. Inventry management, imprvement and QA/QC Quality Assurance (QA) is a planned system f review prcedures cnducted by persnnel nt directly invlved in the inventry cmpilatin/develpment prcess. Reviews, preferably by independent third parties, are perfrmed upn a cmpleted inventry fllwing the implementatin f QC prcedures. Reviews verify that measurable bjectives (data quality bjectives, see subsectin 4.3 f the present chapter) were met, ensure that the inventry represents the best pssible estimates f emissins given the current state f scientific knwledge and data availability, and supprt the effectiveness f the QC prgramme. Quality Cntrl (QC) is a system f rutine technical activities t assess and maintain the quality f the inventry as it is being cmpiled. It is perfrmed by persnnel cmpiling the inventry. The QC system is designed t: prvide rutine and cnsistent checks t ensure data integrity, crrectness, and cmpleteness; identify and address errrs and missins; dcument and archive inventry material and recrd all QC activities. QC activities include general methds such as accuracy checks n data acquisitin and calculatins, and the use f apprved standardised prcedures fr emissin and remval calculatins, measurements, estimating uncertainties, archiving infrmatin and reprting. QC activities als include technical reviews f categries, activity data, emissin factrs, ther estimatin parameters, and methds. Verificatin refers t the cllectin f activities and prcedures cnducted during the planning and develpment, r after cmpletin f an inventry that can help t establish its reliability fr the intended applicatins f the inventry. Fr the purpses f this guidance, verificatin refers specifically t thse methds that are external t the inventry and apply independent data, including cmparisns with inventry estimates made by ther bdies r thrugh alternative methds. Verificatin activities may be cnstituents f bth QA and QC, depending n the methds used and the stage at which independent infrmatin is used. The reader is referred t the IPCC 2006 Guidelines chapter n Quality Assurance/Quality Cntrl and Verificatin (IPCC 2006 Guidelines, Vlume 1, chapter 6) fr further infrmatin n techniques that culd in general be applied fr QA/QC f emissin inventries. Frm the definitin abve f verificatin if fllws that this activity is external t the inventry. It is best seen as part f the inventry imprvement prgram (Sectin 6 f the present chapter). 4.3 QA/QC Plan A QA/QC plan is an internal dcument t rganise and implement all activities acrss all f the emissins inventry activities including: stakehlder engagement (stakehlders = e.g. suppliers f data, reviewers, recipients, ther inventry cmpiling institutes) data cllectin EMEP/EEA air pllutant emissin inventry guidebk

12 6. Inventry management, imprvement and QA/QC data manipulatin inventry cmpilatin cnslidating the inventry estimates (e.g. int a single natinal database) reprting. The QA/QC plan (illustrated in Figure 4-2) is a fundamental element f an inventry management system. The plan needs t clearly identify all imprtant activities used by the inventry cmpiler and ensure that the minimum data quality bjectives required under any relevant reprting bligatins are met. Figure 4-2 shws the different QA/QC checks against a typical time scale aimed at submitting an fficial inventry by mid-february f each year. Figure 4-2 QA/QC plan prcess Quality Assurance QA activities -peer reviews -review f emissin factrs & methds e.g. Peer Review: Aviatin e.g. Peer Review: Agriculture Other Peer Review: Cre Activity Quality Cntrl Sep Oct Nv Dec Jan Feb Mar Apr May Jun Jul Aug Sept Data cllectin -unique reference -check data input -Full referencing f input data -check units, time series cnsistency -secnd persn check -dcument n QA/QC page -nline manual Emissin Calculatin Database entry -Time series Output (NFR) -pllutant expert check -Glbal check -Explain large changes -Database fuel ttals-vs-natinal statistics -mass balance checks Infrmative Inventry Reprt Preparatin -check database NFR utput -NFR ttals -check tables and numbers -check fr large changes frm previus year Archiving -Secnd persn check -database files -spreadsheet files -surce data -manuals -reprt Key Dcumentatin Checking External Check The elements f inventry data quality bjectives are identified in subsectin 2.1 abve. These elements set the scpe f a system that will ensure that the required level f quality is established in the inventry system. A key element f a QA/QC plan is a list f data quality bjectives, against which an inventry can be measured in a review. Data quality bjectives are cncrete targets t be achieved in the inventry preparatin and relate t the specific requirements f the reprting bligatin r ther natinal cmmitment t prvide emissins inventry data. EMEP/EEA air pllutant emissin inventry guidebk

13 6. Inventry management, imprvement and QA/QC Table 1 Data quality bjectives belw utlines the cre elements f the data quality bjectives. EMEP/EEA air pllutant emissin inventry guidebk

14 6. Inventry management, imprvement and QA/QC Table 1 Data quality bjectives Element Data quality bjectives (general) Transparency Ensuring sufficient dcumentatin and referencing t be able t trace any inventry estimates back thrugh the calculatins t the surce data, data prviders and assumptins. Maintaining a natinal inventry reprt that describes methds, data surces and significant trends, cmpleteness, accuracy and uncertainty, and changes t the inventry, and apprpriate surce sectr breakdwn are used fr reprting.(see Annex 1); this reprt culd serve as the Infrmative Inventry Reprt r IIR mentined in the Reprting Guidelines. Addressing recmmendatins related t transparency prvided by the inventry reviewers in the fllwing inventry submissin. Maintaining full dcumentatin n quality checks, checklists and electrnic checking rutines used during QC prcedures. Cnsistency Ensuring that methds are cnsistent with gd practice as defined in this guidebk and that surce data and assumptins are used cnsistently acrss the time series and pllutants in the inventry. Eliminating any incnsistencies between the estimates reprted under different instruments. Ensuring cnsistency with independent inventry, statistical r measurement data. Cmparability Using agreed gd practice methdlgies and frmats fr estimating and reprting emissins. Allcating emissins and reductins t surce categries in accrdance with the split given by the in Reprting Guidelines. Implementing crss cmparisns with ther cuntry inventries (indicatr assessments and Implied Emissin Factr cmparisns.) Cmpleteness Addressing recmmendatins related t cmpleteness prvided by independent inventry reviews in the fllwing inventry submissin. Prviding all NFR tables including ntatin keys where apprpriate and cmplete sectral backgrund data. Prviding infrmatin in the inventry dcumentatin n the cmpleteness and changes in cmpleteness f the emissins inventry. Accuracy Using f apprpriate r better tiered methdlgy that is cnsistent with the guidebk and ther guidelines. Ensuring that quantitative uncertainty estimates are cmpiled and reprted. Ensuring that Tier 2 r higher tier methds are used fr estimating emissins frm key categries as far as is feasible. The QA/QC plan will need t specify the target bjectives against each f these elements and cntain all QA/QC and verificatin actins that will be implemented alng with identificatin f the institutinal arrangements and respnsibilities fr implementing thse activities. It is gd practice that the plan includes a scheduled time frame fr the QA/QC activities that fllws inventry preparatin frm its initial develpment thrugh t final reprting in any year. Once develped, the QA/QC plan can be referenced and used in subsequent inventry preparatin, r mdified as apprpriate (ntably, when changes in prcesses ccur r n advice f independent reviewers). In develping and implementing the QA/QC plan, it may be useful t refer t relevant standards and guidelines published by utside grups invlved in inventry develpment. Fr example, the Internatinal Organizatin fr Standardizatin (ISO) intrduced specificatins fr quantificatin, mnitring, and reprting f greenhuse gas emissins and remvals (ISO 14064) in rganisatins. It is gd practice t EMEP/EEA air pllutant emissin inventry guidebk

15 6. Inventry management, imprvement and QA/QC define any specific details f a QA/QC and verificatin system in the QA/QC plan s that natinal circumstances can be taken int accunt. As part f the QA/QC plan, it is gd practice t accmmdate prcedural changes and a feedback f experience aimed at imprving the quality f the inventry. Cnclusins frm previus reviews need t be used t imprve the prcedures. Such changes can als cncern data quality bjectives and the QA/QC plan itself. The annual review and revisin f the QA/QC plan, as part f the annual inventry management reprt (subsectin 4.6), is an imprtant element t drive the cntinued inventry imprvement. 4.4 QC prcedures In general, QC prcedures include generic quality checks related t calculatins, data prcessing, cmpleteness, and dcumentatin that are applicable t all inventry surce categries. This sectin lists the QC checks a cmpiler shuld use rutinely thrughut the preparatin f the inventry. It is gd practice that these checks are applied irrespective f the type f data used t develp the inventry estimates. They are equally applicable t categries where default values r natinal data are used as the basis fr the estimates. It is gd practice t dcument the results f these QC activities and prcedures as set ut in Sectin 5 f the present chapter. Figure 4-3 QC checks during the inventry prcess It is gd practice t discriminate between input data, the cnversin algrithm f a calculatin and the utput. Nt nly des the utput need t be recrded, but als the input, the cnversin algrithm, and hw this algrithm accesses the input. Such an apprach allws fr intrinsic dcumentatin f the wrk, and fr easy understanding f the calculatin prcedure. It is gd practice t retain the dcumentatin with the material archived in supprt f the cmpleted inventry. The QC checks therefre cver three areas: chsing data: what infrmatin and data is used t cmpile the inventry? Selectin and imprt f data frm data prviders int a raw data set; EMEP/EEA air pllutant emissin inventry guidebk

16 6. Inventry management, imprvement and QA/QC using data: hw is this infrmatin used t estimate the emissins? Cmpilatin f the emissins inventry: cnversins and calculatins using the raw data t build the emissins database; reprting emissins: hw are the emissins data included in the inventry frmats and reprts? Have any errrs r mistakes made during this prcess? It is a prerequisite that all calculatins leading t emissin estimates shuld be fully reprducible. Adequate dcumentatin and archiving f the inventry cmpilatin prcess is therefre crucial. Guidance n this is given in Sectin 5 belw. Obviusly, it is gd practice that any errrs fund during the QC checks are repaired Cllecting input data Emissin estimate prepared by inventry cmpiler In a typical emissin inventrying prcess the inventry cmpiler searches fr data n bth activity rates, emissin factrs and ther parameters fr certain surce categries and uses these in estimating the emissins. Quality cntrlling the input data cllectin prcess aims at ensuring that the data used in the inventry cmpilatin are traceable and apprpriate. It is gd practice t perfrm the fllwing QC checks: where d input data cme frm? check whether the input data fr the emissin calculatins are prperly referenced, check the availability f the referenced material, cnfirm that bibligraphical data references are prperly cited; what input data are used? check that assumptins and criteria fr the selectin f activity data, emissin factrs, and ther estimatin parameters are dcumented, crss-check descriptins f input activity data, emissin factrs and ther estimatin parameters with infrmatin n categries and ensure that these are prperly interpreted and used, check that parameters and units are crrectly recrded and that apprpriate cnversin factrs are used, check that units are prperly labelled in calculatin sheets, check fr cnsistency in data between categries: identify parameters (e.g., activity data, cnstants) that are cmmn t multiple categries, and cnfirm that there is cnsistency in the values used fr these parameters in the emissin calculatins, Check time series cnsistency: identify tempral incnsistency in time series input data fr each categry, take int accunt the effects f mitigatin. Emissin estimates prepared by ther institutins In sme cases, estimates are prepared fr the inventry cmpiler by utside cnsultants r agencies. In such cases the inventry cmpiler uses these emissin estimates as inputs fr the inventry. The inventry cmpiler shuld: EMEP/EEA air pllutant emissin inventry guidebk

17 6. Inventry management, imprvement and QA/QC ensure that the cnsultants/agencies are aware f the QC prcedures listed in this chapter and that these prcedures are perfrmed and recrded; cnfirm that natinal statistical agencies have implemented equivalent QC prcedures. NOTE: In cases where the inventry relies upn fficial natinal statistics as is ften the case fr activity data QC prcedures may already have been implemented n these natinal data. Hwever, it is gd practice fr the inventry cmpiler t check that this is indeed the case. Because activity data may have been cllected fr ther purpses using standards and data quality bjectives different frm the inventry, additinal QC checks may be necessary. Cnfidential data The Reprting Guidelines allw fr nt reprting specific infrmatin, subject t its laws gverning the cnfidentiality f cmmercial infrmatin, where such infrmatin culd lead t the disclsure f cnfidential infrmatin. Where cnfidential infrmatin is used in an inventry, it is gd practice t make reference t the prvisin that authrizes such practice. Nte that this cnfidentiality is referring t the publicatin f the infrmatin nly and nt necessarily t the inventry cmpiler having access t it. It is gd practice that the inventry cmpiler checks the quality f cnfidential data either thrugh direct access t the underlying infrmatin r by ensuring that these data have been independently audited and apprved, as shwn by an fficial audit reprt. When direct access is nt pssible r an independent audit reprt is nt available, it is gd practice fr the inventry cmpiler t cnsider nt using these data Cnversins and calculatins The bjectives described abve fr quality cntrlling input data are similarly applicable t all calculatin prcedures used t prepare a natinal inventry. Checks f the calculatin algrithm shuld safeguard against duplicatin f inputs, unit cnversin errrs, r similar calculatin errrs: check whether all surce categries ccurring in the cuntry are cvered and if specific surce categries that d nt ccur are marked with the apprpriate ntatin key (NO r nt ccurring); check fr any duble cunting r duplicate input; check the use f units and all unit cnversins needed; check cnsistency f activity data used acrss pllutants within each surce categry. NOTES: Energy statistics are in many cases available in (equivalent) mass units (tns f il equivalents) r vlume units (m 3 ), whereas emissin factrs will be available n an energy basis (kg/tj r similar). In these cases unit cnversins are needed. Emissins frm mbile surces might be calculated n the basis f fuel use r kilmetres driven r even bth. It is gd practice t check whether the mileage data are cnsistent with fuel statistics. Check that emissins are calculated crrectly: reprduce a sample f emissins calculatins; EMEP/EEA air pllutant emissin inventry guidebk

18 6. Inventry management, imprvement and QA/QC use a simple apprximatin methd that gives similar results t the riginal and mre cmplex calculatin t ensure that there is n data input errr r calculatin errr. Check time series cnsistency: check fr cnsistency in the algrithm/methd used fr calculatins thrughut the time series; check methdlgical and data changes resulting in recalculatins Checking the utput When the emissin calculatins are cmpleted, gd practice requires executing a number f arithmetical checks. Identify majr methdlgical errrs Such checks can be independent back-f-the-envelpe calculatins, which simplify the algrithms t arrive at an apprximate methd. If the riginal calculatin and the simple apprximate methd disagree, it is gd practice t examine bth appraches t find the reasn fr discrepancy. Whenever a higher Tier methd is applied, a quick and dirty re-estimate using the Tier 1 methd culd serve as such a test, especially when the uncertainty infrmatin n bth the Tier 1 emissin factrs and n the methd applied is available. The ppsite, using a higher Tier t check a Tier 1 estimate is nt very prbable. If a higher Tier estimate is available, it is gd practice t reprt the emissins, using the higher Tier. Check time series cnsistency If earlier inventries have been reprted, it is gd practice t cmpare the estimates f the latest inventry with these earlier versins. It is gd practice t check any unexpected change in emissin levels and, if it is real, explain it. Any unexplained change in emissins might reveal errrs r mistakes, bth in the current r in earlier inventries. If these errrs r mistakes ccur in the estimates fr earlier years in the inventry, it is gd practice t perfrm a recalculatin. Check cmparability One f the quality criteria f the Reprting Guidelines is cmparability between parties t the Cnventin. A cmparisn f the inventry with published inventries f ther cuntries might be helpful in checking the validity n the inventry. Obviusly it is gd practice t take int accunt differences between the cuntries in such cmparisns. Pssible quick and illustrative cmparisns might be: cmpare emissins per capita; cmpare emissins per value added; cmpare emissins by fuel type and fuel cnsumptin. A number f internatinal data sets fr ppulatin, ecnmic indicatrs and energy cnsumptin are available, fr instance frm the Internatinal Energy Agency (IEA), Eurstat and the UN Statistics Divisin. Obviusly, it is gd practice t repair any errrs fund during these QC checks. 4.5 QA prcedures Quality assurance cmprises activities utside the actual inventry cmpilatin. Gd practice fr QA prcedures includes reviews and audits t assess the quality f the inventry, t determine the cnfrmity f the prcedures taken and t identify areas where imprvements culd be made. QA prcedures may EMEP/EEA air pllutant emissin inventry guidebk

19 6. Inventry management, imprvement and QA/QC be taken at different levels (internal/external), and they are used in additin t the QC prcedures. The inventry may be reviewed as a whle r in parts. The bjective f QA implementatin is t invlve reviewers wh can cnduct an unbiased review f the inventry and wh may have a different technical perspective. It is imprtant t use QA reviewers wh have nt been invlved in preparing the inventry. Preferably these reviewers wuld be independent experts frm ther agencies r natinal r internatinal experts r grups nt clsely cnnected with the natinal inventry cmpilatin, e.g. inventry experts f ther cuntries. It is gd practice fr inventry cmpilers t cnduct a basic expert peer review f all categries befre r as part f the endrsement by the natinal authrity. This review will identify ptential prblems and make crrectins where pssible. It is gd practice t give pririty t key categries as well as t categries where significant changes in methds r data have been made. In smaller cuntries, where there may nt be external expertise in all technical areas, it is gd practice fr the inventry cmpiler t cnsider cntacting inventry cmpilers frm ther cuntries as part f an external review. Mre specific infrmatin n QA prcedures related t individual categries is prvided in the categryspecific QA/QC sectins in Part B f this Guidebk Expert review Expert peer review cnsists f a review f calculatins and assumptins by experts in relevant technical fields. This prcedure is generally accmplished by reviewing the dcumentatin assciated with the methds and results, but usually des nt include rigrus certificatin f data r references such as might be undertaken in an audit. The bjective f the expert peer review is t ensure that the inventry s results, assumptins and methds are reasnable as judged by thse knwledgeable in the specific field. Als, where a cuntry has frmal stakehlder and public review mechanisms in place, these reviews can supplement expert peer reviews, althugh they shuld nt replace them. There are n standard tls r mechanisms fr expert peer review f emissin inventries, and its use shuld be cnsidered n a case-by-case basis. If there is a high level f uncertainty assciated with an estimate fr a categry, expert peer review may prvide infrmatin t imprve the estimate, r at least t better quantify the uncertainty. Effective peer reviews ften invlve identifying and cntacting key independent rganisatins r research institutins t identify the mst apprpriate individuals t cnduct the review. It is preferable fr this expert input t be sught early in the inventry develpment prcess s that the experts can prvide review f methds and data acquisitin that culd affect final calculatins. The results f expert peer review, and the respnse f the inventry cmpiler t thse findings, may be imprtant t general acceptance f the final inventry. It is gd practice that all expert peer reviews are well dcumented, preferably in a reprt r checklist frmat that shws the findings and recmmendatins fr imprvement. 4.6 Inventry management reprt At the end f the annual inventry prcess a brief internal management reprt may list all issues encuntered during data flw, inventry cmpilatin and reprting phases f the prcess. It is gd practice that the reprt describes the lessns learned during the nw almst finalized inventry cycle and prvide prpsals fr imprvements in the next and subsequent cycles. The annual review and revisin f the QA/QC plan, as part f the annual inventry management reprt, is an imprtant element t drive the cntinued inventry imprvement. EMEP/EEA air pllutant emissin inventry guidebk

20 6. Inventry management, imprvement and QA/QC The inventry management reprt is as essential fr the inventry imprvement as is the QA/QC plan (subsectin 4.4 f the present chapter). It is gd practice that the management reprt refers back t the current QA/QC plan, its implementatin schedule, and discusses the respnsibilities fr its implementatin. In this summary, it is gd practice that the inventry cmpiler fcuses n the fllwing activities: data and data flws: any changes in the institutinal arrangements gverning the data flw frm the data prviders t the inventry cmpiler, explain significant trends in the time series, particularly where trend checks pint t substantial divergences. It is gd practice t include any effect f recalculatins r mitigatin strategies in this discussin; quality assurance and quality cntrl: describe which activities were perfrmed internally, and what external reviews were cnducted fr each surce/sink categry and n the entire inventry? Recrds f QA/QC prcedures prvide especially imprtant infrmatin t enable cntinuus imprvement t inventry estimates (see subsectin 4.6). It is gd practice fr recrds f QA/QC activities t include the checks/audits/reviews that were perfrmed, when they were perfrmed, wh perfrmed them, and crrectins and mdificatins t the inventry resulting frm the QA/QC activity. An example checklist t use fr recrding QC activities at bth the general- and categry-level is prvided in Annex 6A.1 f Chapter 6 f the IPCC 2006 Guidelines; inventry imprvement: present the key findings, describing majr issues regarding quality f input data, methds, prcessing, r estimates fr each categry, and shw hw they were addressed r plan t be addressed in the future. It is gd practice t reprt a summary f all management issues, including the implemented QA/QC activities and key findings as a supplement t each cuntry s annual natinal inventry. 5 Archiving, dcumentatin and reprting Figure 5-1 illustrates the dcumentatin activities thrughut the inventry prcess. EMEP/EEA air pllutant emissin inventry guidebk

21 6. Inventry management, imprvement and QA/QC Figure 5-1 Dcumentatin activities during the inventry prcess It is gd practice t dcument and archive all infrmatin relating t the planning, preparatin, and management f inventry activities. This includes: institutinal: respnsibilities, institutinal arrangements, and prcedures fr the planning, preparatin, and management f the inventry prcess (see Sectin 3 f the present chapter), names and c-rdinates f respnsible individuals within the c-perating institutins, identificatin f individuals prviding expert judgement fr emissin factrs and/r uncertainty estimates and their qualificatins t d s; methdlgical: methds used, including thse used t estimate uncertainty and thse used fr recalculatins, ratinale fr chice f methds, assumptins and criteria fr the selectin f activity data and emissin factrs, changes in data inputs r methds frm previus inventries (recalculatins); data: emissin factrs and ther estimatin parameters used, including references t either the table in this Guidebk where a default Tier 1 r Tier 2 emissin factr is used, r published papers r ther dcumentatin fr ther emissin factrs used in higher tier methds, activity data r sufficient infrmatin t enable activity data t be traced t the referenced surce, infrmatin n the uncertainty assciated with activity data and emissin factrs; technical: EMEP/EEA air pllutant emissin inventry guidebk

22 6. Inventry management, imprvement and QA/QC details f electrnic databases r sftware used in the prductin f the inventry, including versins, perating manuals, hardware requirements and any ther infrmatin required t enable their later use, wrksheets and interim calculatins fr categry estimates, and aggregated estimates and any re-calculatins f previus estimates, secure archiving f cmplete datasets, t include shared databases that are used in inventry develpment. This is particularly imprtant fr categries that rely n the multi-step develpment f emissins frm a large set f primary data frm utside surces; quality assurance and quality cntrl: QA/QC plans, recrds f QA/QC prcedures; final inventry reprt and any analysis f trends frm previus years. It is gd practice fr inventry cmpilers t maintain this dcumentatin fr every inventry prduced and t prvide it fr review. It is gd practice t maintain and archive this dcumentatin in such a way that every inventry estimate can be fully dcumented and reprduced if necessary. 6 Inventry imprvement 6.1 Using the QA/QC systems results It is gd practice t manage the imprvement prcess thrugh the QA/QC systems by keeping recrd f identified and cmpleted imprvements and the impact n the inventry estimates. Annual imprvement reviews shuld determine the pririties fr imprvement f the inventry. These reviews shuld cnsider the utcmes f the fllwing activities: QA/QC and verificatin that may result in a reassessment f inventry r categry uncertainty estimates (Chapter 5, Uncertainties in the General Guidance part f this Guidebk) and t subsequent imprvements in the estimates f emissins. Fr example, the results f the QA/QC prcess may pint t particular variables within the estimatin methdlgy fr a certain categry that shuld be the fcus f imprvement effrts; an uncertainty analysis as described in Chapter 5, Uncertainties, in the General Guidance part f this Guidebk identifies the majr surces f uncertainties in the inventry. Any imprvements must be apprpriately addressed in the inventry including applicatin t the full-time series and checking that the imprvement has actually imprved the inventry and is repeatable (e.g. data fr future years will be available). 6.2 Verificatin Fr the purpses f this guidance, verificatin activities include cmparisns with emissin r remval estimates prepared by ther bdies and cmparisns with estimates derived frm fully independent assessments, e.g. atmspheric cncentratin measurements. Verificatin activities prvide infrmatin fr cuntries t imprve their inventries and are part f the verall QA/QC and verificatin system. Crrespndence between the natinal inventry and independent estimates increases the cnfidence and reliability f the inventry estimates by cnfirming the results. Significant differences may indicate weaknesses in either r bth f the datasets. Withut knwing which dataset is better, it may be wrthwhile EMEP/EEA air pllutant emissin inventry guidebk

23 6. Inventry management, imprvement and QA/QC t re-evaluate the inventry. This sectin describes appraches that can be used t verify inventry estimates at bth the surce/sink categry and inventry wide levels. The cnsideratins fr selecting verificatin appraches include scale f interest, csts, desired level f accuracy and precisin, cmplexity f design and implementatin f the verificatin appraches, availability f data, and the required level f expertise needed fr implementatin. An ideal cnditin fr verificatin is the use f fully independent data as a basis fr cmparisn. Measurements f atmspheric cncentratins ptentially prvide such datasets, and methds f inverse mdelling allw using such data as a basis fr emissin inventry verificatin. The apprach is particularly valuable as it is independent f standard estimatin methd drivers, such as sectr activity data and implied emissin factrs. The scale f such mdels can be designed arund lcal, reginal, r glbal bundaries and can prvide infrmatin n either level r trends in emissins. A recent reprt by Van Velthven et al. (2004) prvides an verview f methds and aspects that are available in this respect. Further discussin and elabratin n applicatin f these techniques in green huse gas emissins can be fund in mre cmprehensive summaries n the use f these methds fr inventry verificatin (Rypdal et al., 2005; Bergamaschi et al., 2004; Benkvitz, 2001; Benjey and Middletn, 2002). Where verificatin techniques are used, it is gd practice t reflect their results in the management reprt (see subsectin 4.6 abve) and incrprate recmmendatins fr inventry imprvement int the QA/QC plan. The limitatins and uncertainties assciated with the verificatin technique itself shuld be thrughly investigated s that the results can be prperly interpreted. EMEP/EEA air pllutant emissin inventry guidebk