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Guidelines and Manuals for the Preparation of non-Annex I National Reports and International
Consultation and Analysis
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Photo by Mel Halbach
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National Communications (NCs)
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Biennial Update Reports (BURs)
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Guidelines for the preparation of initial NCs from non-Annex I Parties were adopted at COP 2 in
1996. COP 5 in 1999 initiated a review of the guidelines, and with major contributions by the
CGE COP 8 in 2002 adopted the following revised guidelines:
Revised guidelines for the
preparation of NCs
The GEF prepared the following operational procedures for the Expedited Financing of NCs from
non-Annex I Parties:
GEF operational procedures for financing
of NCs
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COP 17 adopted the following guidelines for the preparation of BURs from non-Annex I Parties
contained in annex III of decision 2/CP.17:
 Guidelines for the preparation of BURs
The GEF prepared the following policy guidelines for the financing of BURs for non-Annex I
Parties.
GEF
guidelines for the financing of BURs
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Institutional arrangements for NCs and BURs
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The toolkit aims to assist non-Annex I Parties in establishing and maintaining the most
suitable national institutional arrangements to meet the enhanced reporting requirements for
NCs and BURs, in terms of the quality of the content and the frequency of submission.
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User Manual and Resource guide for NCs
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In response to a request by SBI 18, the secretariat prepared a user manual to facilitate the
use of the guidelines to the Convention annexed to decision 17/CP.8,
and also a Resource Guide for preparing the NCs of non-Annex I Parties.
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Summary and Background
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1. NCs
In accordance with Article 4, paragraph 1 and Article 12, paragraph 1, each Party shall communicate to
the Conference of the Parties, through the secretariat, the following elements of information:
(a) A national inventory of anthropogenic emissions by sources and removals by sinks of all
greenhouse gases not controlled by the Montreal Protocol, to the extent its capacities permit, using
comparable methodologies to be promoted and agreed upon by the Conference of the Parties.
(b) A general description of steps taken or envisaged by the Party to implement the Convention.
(c) Any other information the Party considers relevant to the achievement of the objective of the
Convention and suitable for inclusion in its communication, including, if feasible, material relevant
for calculations of global emission trends.
Guidelines for the preparation of initial NCs from non-Annex I Parties were adopted at COP 2 in
Geneva in 1996. COP 5 (Bonn, 1999) initiated a process of reviewing the guidelines, with the aim of
improving them and established a Consultative Group of Experts on National Communications from
non-Annex I Parties (CGE) in order to improve the process of preparation of NCs by non-Annex I Parties.
The CGE made major contributions to the review of the guidelines. At COP 8 (New Delhi, 2002) Parties
adopted revised guidelines ( decision 17/CP.8).
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2. BURs
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COP 17 adopted the guidelines for the preparation of BURs from non-Annex I Parties contained in annex
III of decision 2/CP.17, and also decided the following:
(a) That non-Annex I Parties, consistent with their capabilities and the level of support provided for
reporting, should submit their first BUR by December 2014; the least developed country Parties and
small island developing States may submit BURs at their discretion;
(b) That in using the Guidelines, non-Annex I Parties should take into account their development
priorities, objectives, capacities and national circumstances;
(c) That the Guidelines should be used as a basis to provide guidance to an operating entity of the
financial mechanism for funding the preparation of biennial update reports from non-Annex I Parties
and, in the case of the first BUR, to the Global Environment Facility;
(d) To urge non-Annex I Parties to submit their requests to the Global Environment Facility for
support, in a timely manner;
(e) That enhanced support for the preparation of BURs should be ensured by developed country Parties
and other developed Parties included in Annex II to the Convention by means of resources, in accordance
with Article 4, paragraph 3, of the Convention, on the basis of agreed full-cost funding;
(f) That non-Annex I Parties shall submit a BUR every two years, either as a summary of parts of their
NC in the year in which the NC is submitted or as a stand-alone update report; the least developed
country Parties and small island developing States may submit BURs at their discretion;
(g) That the first BUR submitted by non-Annex I Parties shall cover, at a minimum, the inventory for
the calendar year no more than four years prior to the date of the submission, or more recent years if
information is available, and that subsequent BURs shall cover a calendar year that does not precede
the submission date by more than four years;
(h) That these guidelines should be reviewed and revised as appropriate, in accordance with decisions
of the Conference of the Parties
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3. International Consultation and Analysis (ICA)
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COP17 also adopted the modalities and guidelines for ICA contained in annex IV of decision 2/CP.17, and
decided the following:
(a) That the first rounds of ICA will be conducted for developing country Parties, commencing within
six months of the submission of the first round of BURs by developing country Parties;
(b) That the frequency of participation in subsequent rounds of ICA by developing country Parties,
based on their respective capabilities and national circumstances, and special flexibility for small
island developing States and the least developed country Parties, will be determined by the frequency
of the submission of BURs;
(c) To revise the modalities and guidelines prescribed herein based on experiences gained in the first
round of ICA, no later than 2017;
(d) That small island developing States and the least developed country Parties may undergo ICA as a
group of Parties at their discretion.
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4. GEF operational procedures for the expedited financing of preparation of NCs and BURs from
non-Annex I Parties
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The GEF has prepared operational procedures for the expedited financing of NCs from non-Annex I Parties
to assist eligible countries to formulate and submit proposals based on COP 8 guidelines. Under these
operational procedures, up to US$405,000 is made available to each non-Annex I Party for the
preparation of its NC. The GEF also provides an additional US$15,000 per country for stocktaking
exercise and stakeholder consultations in preparation of the project proposals.
The GEF prepared policy guidelines for the financing of BURs for Parties not included in Annex I to the
Convention (GEF Guideline). As per these policy guidelines, non-Annex I Parties can, for the
preparation of their BURs, access up to US$352,000 through a GEF Agency or via direct access.
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5. COP 19 adopted the composition, modalities and procedures of the team of technical experts
referred to in decision 2/CP.17, annex IV, paragraph 1:
By decision 20/CP.19, the COP requested the following:
(a) Parties to nominate technical experts with the relevant qualifications to the UNFCCC roster of
experts;
(b) The secretariat to maintain and update the UNFCCC roster of experts;
(c) The Consultative Group of Experts on National Communications from Parties not included in Annex I
to the Convention to develop and organize appropriate training programmes for nominated technical
experts taking into account annexes III and IV to decision 2/CP.17, based on the most up-to-date
training materials of the Consultative Group of Experts on National Communications from Parties not
included in Annex I to the Convention, with a view to improving the technical analysis, taking into
account the difficulties encountered by Parties not included in Annex I to the Convention in the
preparation of their BURs.
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Toolkit for non-Annex I Parties on establishing and maintaining institutional arrangements for
preparing NCs and BURs:
The toolkit aims to assist non-Annex I Parties in establishing and maintaining the most suitable
national institutional arrangements to meet the enhanced reporting requirements for their NCs and BURs,
in terms of the quality of the content and the frequency of submission.
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User Manual (Updated 3 August 2004)
In response to a request by SBI 18 (Bonn, 2003), the secretariat prepared a user manual to facilitate
the use of the guidelines to the Convention annexed to decision pdf-icon 17/CP.8. The user manual,
launched at COP 9 (Milan 2003), is designed for use by Parties and national experts responsible for the
preparation of the various sections of NCs, and also by national climate change teams or committees
that facilitate the coordination, organization and management of various tasks and activities. It might
also be useful for multilateral and bilateral programmes that support the preparation of NCs from
non-Annex I Parties.
Contents and Feedback
For submission of national reports from non-Annex I Parties, please e-mail the secretariat:
nai_nc@unfccc.int. The details on the submission
process will be communicated through this email.
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