Template 3: Description of QA/QC Procedures

1: Institutional Arrangements
2: Methods and Data
Documentation
3: Description of QA/QC
Procedures

: Description of Archi!ing "#stem
$: %e# Categor# Anal#sis
&: 'ational In!entor#
Impro!ement Plan

Country Representative Contact Information
Country: Postal Address:
Contact Name: Phone Number:
Title: E-Mail:
r!ani"ation: #R$:
Instructions
The implementation of quality assurance and
quality control (QA/QC) procedures is an
important part of the development of national
greenhouse gas inventories. As described in
the ICC !ood ractice !uidance and the
latest ICC !uidelines ("##$)% an adequate
QA/QC program helps improve transparency%
consistency% comparability% completeness% and
con&dence in national !'! inventories.
Countries should use this (ord document to
enter country)speci&c data and for preparing
&nal plans. The green te*t is used to provide
instructions and guidance throughout the
template as +ell as +ithin tables. In the &nal plan% all green te*t should be deleted% and country)speci&c
information should be used in its place.
,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
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$nt!%spe#i&# a""itional QA/QC
!esponsi'ilities
STEP 3: Complete the Tie! 1 QA/QC #he#klist
STEP (: Complete the Tie! 2 QA/QC #he#klist as
app!op!iate
Quality Assurance/Quality Control (QA/QC) Procedures
1(1(1( )ac*ground
Q$alit ass$!an#e an" )$alit #ont!ol meas$!es a!e two "istin#t tpes of a#tivities. The *PCC "e&nes ea#h
as follows:
Qualit# Assurance +QA, + a planne" sstem of !eview p!o#e"$!es #on"$#te" ' pe!sonnel not
involve" in the invento! "evelopment p!o#ess.
Qualit# Control +QC, + a sstem of !o$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".
An e,e#tive QA/QC plan #ontains the followin- elements:
Pe!sonnel !esponsi'le fo! #oo!"inatin- QA/QC a#tivities.
.ene!al /Tie! 10 QC p!o#e"$!es.
So$!#e%spe#i&# /Tie! 20 QC p!o#e"$!es.
QA !eview p!o#e"$!es.
Repo!tin-1 "o#$mentation1 an" a!#hivin- p!o#e"$!es.
Ea#h of these elements a!e "es#!i'e" in mo!e "etail 'elow.
1(1(2( QA/QC Plan
,T- ./ 0ill out each subsection to document or develop the various elements of your
country1s QA/QC plan. 2nce developed% use the plan in subsequent inventory preparation.
3odify the plan as necessary to re4ect ne+ processes.
A w!itten QA/QC plan is a f$n"amental element of a QA/QC sstem. This plan o$tlines QA/QC a#tivities
pe!fo!me"1 the pe!sonnel !esponsi'le fo! these a#tivities1 an" the s#he"$le fo! #ompletin- these a#tivities.
3.3
The followin- se#tions "es#!i'e the QA/QC plan that 5country6 plans to follow to ens$!e a hi-h )$alit
national invento!.
1(1(3( QA/QC Personnel
,T- "/ 7ist responsibilities for the QA/QC coordinator. 0ill out Table 8.. belo+ +ith the
names and contact information for appropriate sta9 person(s) responsible for each activity
listed.
Insert as many ro+s +ithin the table belo+ as necessary to provide the detailed information
for each activity listed.
The QA/QC #oo!"inato! is the main pe!son !esponsi'le fo! implementin- the QA/QC plan. *n this !ole1 the
QA/QC #oo!"inato!:
Cla!i&es an" #omm$ni#ates QA/QC !esponsi'ilities to invento! mem'e!s.
2evelops an" maintains QA/QC #he#klists app!op!iate to va!io$s invento! team mem'e! !oles. (,ee
Table 8." and Table 8.8 for e*amples)
Ens$!es the timel an" a##$!ate #ompletion of QA/QC #he#klists an" !elate" a#tivities. 2evelops an
ove!all QA/QC timeline an" when e3te!nal !eviews will o##$!.
4ana-es an" "elive!s "o#$mentation of QA/QC a#tivities to the invento! lea" an" a!#hive
#oo!"inato!.
Coo!"inates e3te!nal !eviews of the invento! "o#$ment an" ens$!es that #omments a!e
in#o!po!ate" into the invento!.
*n this !ole1 the QA/QC #oo!"inato! #omm$ni#ates with seve!al othe! invento! mem'e!s. Ta'le 3.1
s$mma!i5es the ke pe!sonnel !esponsi'le fo! QA/QC a#tivities.
3.(
Table %&': Personnel Responsible for (A)(C Activities
Title (A)(C Responsibility Name r!ani"ation Contact Information
Inventory Lead All aspects of the inventory program,
cross, cutting QA/QC
QA/QC Coordinator Implementing the overall QA/QC
plan
Category Lead(s) Implementing category specific
QA/QC procedures (Tier 1 and Tier
procedures listed in Ta!le "# and
"#" !elo$)
%utside &'pert(s) &'pert revie$ of the inventory
1(1(( Communicating the 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
e3pe!ts so that the p!o#e"$!es #an 'e e,e#tivel implemente"1 eval$ate"1 an" imp!ove". The QA/QC
#oo!"inato! fo! 5Country6 will implement the followin- p!o#e"$!es fo! the QA/QC plan:
Convene a meeting +ith all team members to develop a QA/QC plan.
(rite and distribute a QA/QC plan to all team members required to perform QA/QC.
Conduct a :;ic;)o9< meeting +ith all of those +or;ing on the inventory (including consultants%
universities% etc)% introduce plan and distribute QC chec;lists (this can be completed in con=unction
+ith the inventory ;ic;)o9 meeting)
,end memos (+ritten or electronic) reminding team members of their QA/QC responsibilities and
overall schedule.
67ist additional +ays of communicating the QA/QC plan7.
3.8
1(1($( -eneral +Tier 1, QC Procedures for "ource/"in* Categor# .eads
,T- 8/ As each item in Table 8." 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 299: *PCC .$i"elines1 altho$-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 'asis1 it ma not 'e ne#essa! o! possi'le to #he#k
all aspe#ts of invento! inp$t "ata1 pa!amete!s an" #al#$lations eve! ea!. A !ep!esentative
sample of "ata an" #al#$lations f!om eve! #ate-o! ma 'e s$';e#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#esses1 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-1 han"lin-1 "o#$mentin-1 a!#hivin-1
an" !epo!tin- p!o#e"$!es #ommon to all #ate-o!ies. Ta'le 3.2 lists the spe#i&# Tie! 1 QC a#tivities
pe!fo!me" ' 5country61 an" a #he#klist fo! when these a#tivities we!e #omplete".
3.:
Table %&*: +eneral ,Tier '- (C Activities
(C Activity Procedures
Tas. Completed Corrective Measure Ta.en
Name)
Initials
/ate
0upportin! /ocuments ,$ist
/ocument Name-
/ate
/ata +atherin!1 Input1 and 2andlin! Chec.s
Chec( that assumptions
and criteria for the
selection of activity data
and emission factors
are documented#
Cross)chec( descriptions of activity data and emission factors $ith
information on categories and ensure that these are properly recorded
and archived#
Chec( for transcription
errors in data input and
reference#
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#
Chec( that
emissions/removals are
calculated correctly#
0eproduce a representative sample of emissions/removals
calculations#
If models are used, selectively mimic comple' model calculations
$ith a!!reviated calculations to 1udge relative accuracy#
Chec( that parameter
and emission/removal
units are correctly
recorded and that
Chec( that units are properly la!eled in calculation sheets and (*++
template report)
Chec( that units are correctly carried through from !eginning to end
of calculations#
3.<
appropriate conversion
factors are used#
Chec( that conversion factors are correct#
Chec( that temporal and spatial ad1ustment factors are used
correctly#
Chec( the integrity of
data!ase files#
Confirm that the appropriate data processing steps are correctly
represented in the data!ase#
Confirm that data relationships are correctly represented in the
data!ase#
&nsure that data fields are properly la!eled and have the correct
design specifications#
&nsure that ade2uate documentation of data!ase and model
structure and operation are archived#
Chec( for consistency
in data !et$een
categories#
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 the
movement of inventory
data among processing
steps is correct#
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
0evie$ of internal
documentation and
archiving#
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
3.=
Chec( methodological
and data changes
resulting in
recalculations#
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 mathematical correctness#
Chec( time series
consistency
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$n data gaps that result in incomplete category
emissions/removals estimates are documented, including 2ualitative
evaluation of the importance of the estimate in relation to total net
emissions (e#g# su!categories classified as 5not estimated6)#
Trend chec(s 3or each category, compare current inventory estimates to previous
estimates, if availa!le# If there are significant changes or departures from
e'pected trends, re)chec( estimates and e'plain any difference#
7ignificant changes in emissions or removals from previous years may
indicate possi!le input or calculation errors#
Chec( value of implied emission factors (aggregate
emissions/removals divided !y activity data) across time series# Are
changes in emissions or removals !eing captured8
Chec( if there any unusual or une'plained trends noticed for activity
data or other parameters across the time series#
3.>
7ource. This list has !een adapted from I4CC 9ood 4ractice 9uidance and the ::; I4CC 9uidelines for <ational 9=9 Inventories#
1(1(&( Categor#/speci0c +Tier 2, Procedures
,T- >/ 7ist ?ey Categories after completing Template @ (?ey Category Analysis). Add or
remove Tier " QC procedures from Table 8.8 as necessary.
*n a""ition to the Tie! 1 QC p!o#e"$!es o$tline" in the p!e#e"in- se#tion1 5country6 follows Tie! 2 QC
p!o#e"$!es fo! sele#t ke #ate-o!ies an"1 as !eso$!#es allow1 fo! othe! #ate-o!ies. These ke #ate-o!ies
a!e:
67ist ;ey categories7.
5Country6 #on"$#ts the Tie! 2 QC p!o#e"$!es liste" in Ta'le 3.3 'elow.
Table %&%: Cate!ory-specific ,Tier *- (C Procedures
(C Activity Procedures
Tas. Completed Corrective Measure Ta.en
Name)
Initials
/ate
0upportin! /ocuments ,$ist
/ocument Name-
/ate
Assess the applica!ility
of I4CC default factors
&valuate $hether national conditions are similar to those used to
develop the I4CC default factors
Compare default factors to site or plant)level factors
Consider options for o!taining country)specific factors
+ocument results of this assessment
3.19
(C Activity Procedures
Tas. Completed Corrective Measure Ta.en
Name)
Initials
/ate
0upportin! /ocuments ,$ist
/ocument Name-
/ate
0evie$ country)specific
factors
QC the data used to develop the country)specific factor
Assess $hether secondary studies used to develop country)specific
factors used (at a minimum) Tier 1 QC activities
Compare country)specific factors to I4CC defaults> document any
significant discrepancies
Compare country)specific factors to site or plant)level factors
Compare to factors from other countries (using I4CC &mission
3actor +ata!ase)
+ocument results of this assessment
0evie$ measurements +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 $ith estimates using a factor>
document any significant discrepancies
&valuate time series
consistency
0evie$ significant (? 1:@) changes in year)over)year estimates for
categories and su!)categories
Compare top)do$n and !ottom)up estimates for similar orders of
magnitude
Conduct reference calculations that use stoichiometric ratios and
conservation of mass and land
0evie$ national level
activity data
+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
3.11
(C Activity Procedures
Tas. Completed Corrective Measure Ta.en
Name)
Initials
/ate
0upportin! /ocuments ,$ist
/ocument Name-
/ate
0evie$ site)specific
activity data
+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
QC uncertainty
estimates
Apply QC techni2ues to uncertainty estimates
0evie$ uncertainty calculations
+ocument uncertainty assumptions and 2ualifications of any e'perts
consulted
Aerify 9=9 estimates Compare estimates to other national or international estimates at the
national, gas, sector, or su!)sector level as availa!le
1(1(1( QA Procedures
,T- @/ Complete Table 8.> +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 organiAations% or other relevant organiAations +ith
e*pertise. If third party revie+ers are unavailable% sta9 from another part of the inventory
agency not involved in the portion of the inventory under revie+ can ful&ll this role. ?ey
categories (as outlined in Template @) should be given priority for revie+% as +ell as source
categories +here signi&cant changes in methodology or data have been made.
E3pe!t !eview o,e!s the oppo!t$nit to $n#ove! te#hni#al iss$es !elate" to the appli#ation of
metho"olo-ies1 sele#tion of a#tivit "ata1 an" "evelopment an" #hoi#e of emission fa#to!s. ?e#a$se of
thei! knowle"-e an" e3pe!ien#e in a!eas !elate" to the invento!1 the liste" e3pe!ts an"/o! o!-ani5ations
3.12
in"i#ate" in Ta'le 3.(1 'elow1 have 'een in#l$"e" in the QA p!o#ess. Thei! #omments have 'een !eviewe"
an" a""!esse"1 as app!op!iate1 p!io! to the s$'mission of the *nvento!.
Table %&3: E4ternal Revie5ers
Name r!ani"ation Area of E4pertise Contact Information Comment 0ummary
1(1(2( Proposed QA/QC Plan Impro!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). 0ill out Table 8.@ +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##ompanin- emission estimates1 5country6 plans to implement the
imp!ovements to the QA/QC plan liste" in Ta'le 3.8.
Table %&6: Improvements to the (A)(C Plan
Improvement 7 0ector Cate!ory
Potential Improvement
(A (C
3.13
1(1(3( "upplemental QA/QC Chec*lists
Activities
Tas. Completed
Name /ate
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 Teplate for
e!aples"
+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#
QA/QC Coordinator Chec*list
In!entor# .ead Chec*list: Cross/Cutting Chec*s for
4!erall In!entor# Qualit#
Activities
Tas. Completed
Name /ate
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).
Completeness
Chec( for completeness across categories and years
Chec( that data gaps are identified and reported as re2uired
Compare current national inventory estimates $ith previous years6
3.18
%ther (specify).
Maintainin! Master Inventory 8ile: 0preadsheets and Inventory /ocument
=ave file control procedures !een follo$ed8
%ther (specify).
In!entor# .ead Chec*list: Detailed Chec*list for
In!entor# Document
Activities
Tas. Completed
Name /ate
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).
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).
3.1:
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
inventory report includes)
%ther (specify).
3.1<