Distr.
GENERAL
FCCC/SBSTA/1996/9
5 June 1996
Original: ENGLISH
SUBSIDIARY BODY FOR SCIENTIFIC AND TECHNOLOGICAL ADVICE
Third session
Geneva, 9-16 July 1996
Item 4 (a) of the provisional agenda
NATIONAL COMMUNICATIONS
COMMUNICATIONS FROM PARTIES INCLUDED IN ANNEX I TO
THE CONVENTION: GUIDELINES, SCHEDULE AND PROCESS FOR
CONSIDERATION
Possible revisions to the guidelines for the
preparation of national communications
by Parties included in Annex I to the
Convention
Note by the secretariat
CONTENTS
Paragraphs Page
I. INTRODUCTION 1 - 10 2
A. Mandate 1 - 5 2
B. Scope of the note 6 - 10 3
II. POSSIBLE ACTION BY THE SUBSIDIARY BODY FOR
SCIENTIFIC AND TECHNOLOGICAL ADVICE 11 4
Annex
Proposal for revisions to the guidelines for the preparation of
national communications by Parties included in Annex I to
the Convention 5
I. INTRODUCTION
A. Mandate
1. The Conference of the Parties, at its first session (COP 1), by
its decision 3/CP.1,* requested the secretariat to prepare
a report on the guidelines for the preparation of first
communications by Parties included in Annex I to the Convention
("Annex I Parties") for consideration by the Subsidiary Body for
Scientific and Technological Advice (SBSTA) and the Subsidiary Body
for Implementation (SBI) before the second session of the Conference
of the Parties (COP 2). Pursuant to the conclusion adopted by the
SBSTA at its first session by which it decided to return to the
further development of guidelines for the preparation of national
communications from Annex I Parties at its second and later sessions
(FCCC/SBSTA/1995/3, para. 33 (d)), the secretariat prepared a note
for consideration by the SBSTA at its second session
(FCCC/SBSTA/1996/3).
2. At that session, the SBSTA took note of the secretariat
document and requested the secretariat to prepare a further report
suggesting possible revisions to the guidelines, taking into account
the submissions by Parties and the experience gained from the review
process, for consideration at its third session, with the aim of
allowing revised guidelines to be adopted at COP 2 in time for the
preparation of second national communications by Annex I
Parties.
3. At its second session, the SBSTA endorsed the proposals
regarding the revisions to the guidelines to ensure consistency with
COP decisions. The SBSTA requested that revised guidelines for the
preparation of national communications by Annex I Parties contain
more specific guidance on the description of policies and measures
and their effects, projections and underlying assumptions and
technological cooperation and transfer, using, where feasible,
standardized formats and tables. The SBSTA requested that the revised
guidelines also take into account the issues referred to by the SBI
in its conclusions on the transfer of technology (see
FCCC/SBSTA/1996/8, para. 60).
4. In considering a note by the secretariat on transfer of
technology (FCCC/SBI/1996/5), the SBI, at its second session,
recognized the need to improve the comprehensiveness, comparability
and detail of information provided by the developed country Parties
and other developed Parties included in Annex II to the Convention
("Annex II Parties") on the transfer of technology and know-how
necessary to mitigate and facilitate adequate adaptation to climate
change (see FCCC/SBI/1996/9, para. 49). It also requested the SBSTA
to prepare recommendations on the guidelines for national
communications by Annex I Parties for consideration by the SBI at its
third session.
5. The SBI, at its second session, further recommended that the
modifications to the guidelines should aim to improve the
comprehensiveness, comparability and detail of
____________
* For decisions adopted by the Conference of the Parties at its
first session, see document FCCC/CP/1995/7/Add.1.
information provided in national communications and should reflect
option 3 given in the secretariat document FCCC/SBI/1996/5 while
noting the need for flexibility in reporting private sector
activities (see FCCC/SBI/1996/9, para. 51).
B. Scope of the note
6. The annex to this note contains a proposal for revisions to the
guidelines for the preparation of national communications by Annex I
Parties. This proposal draws upon and attempts to reflect the views
submitted by Parties on this subject compiled in document
FCCC/SBSTA/1996/MISC.4, as well as the experience gained from the
review process. Consultations were also carried out with experts from
the secretariat of the International Energy Agency and from the
secretariat of the Organisation for Economic Co-operation and
Development. The secretariat has endeavoured to incorporate, as far
as possible, the different points of view, with the aim of preparing
a balanced and yet improved set of guidelines. In several cases, the
secretariat's own suggestions have been added. The secretariat is
fully responsible for the proposal as a whole.
7. The note should be read in conjunction with its addendum on
methodological issues, the compilation and synthesis of national
communications (FCCC/CP/1996/12 and Add.1 and 2), the secretariat's
note on the process for submission and review of national
communications (FCCC/CP/1996/13) and the report on the guidelines for
the preparation of first communications by Annex I Parties
(FCCC/SBSTA/1996/3), all of which complement the discussion in this
note.
8. The proposal seeks to encourage the presentation of information
in ways that are consistent, transparent and comparable. Proposed
deletions from the guidelines for the preparation of first
communications are indicated by strike-out, and proposed additions
for inclusion in the revised set of guidelines are indicated by bold
text. Significant changes to the text are explained briefly in
endnotes.
9. The present document does not attempt to discuss or summarize
the specific scientific, methodological and technical issues arising
from the Guidelines for National Greenhouse Gas Inventories adopted
by the Intergovernmental Panel on Climate Change (IPCC), but notes
that a separate process for the consideration of possible
improvements is under way in the IPCC and is scheduled for discussion
at its plenary session in September 1996. The addenda to this
document, do, however, discuss methodological issues related to
temperature adjustments, electricity trade, bunker fuels, the use of
global warming potentials and the land-use change and forestry
sector. This note does not consider the issue of adjustments to the
guidelines and procedures for national communications for Annex I
Parties with economies in transition (see FCCC/CP/1995/7, para. 47).
It should be noted, however, that the information acquired through
the review process concerning Parties with economies in transition is
explicitly mentioned throughout the compilation and synthesis of
national communications (FCCC/CP/1996/12/Add.1).
10. In preparing this document, the secretariat has been aware
that some information is available from other international sources
(for example, on energy, financial assistance and research and
systematic observation) and that there is a separate process for
reporting on activities implemented jointly established by decision
5/CP.1 of the COP, and by adoption of the initial framework for
reporting activities implemented jointly by the SBSTA at its second
session. In the interests of completeness, however, and to encourage
the communication of full information on the implementation of the
Convention, the secretariat has nevertheless included requests for
such information in the proposal contained in the annex to this
note.
II. POSSIBLE ACTION BY THE SUBSIDIARY BODY
FOR
SCIENTIFIC AND TECHNOLOGICAL ADVICE
11. The SBSTA is invited to consider the proposal for revisions to
the guidelines for the preparation of national communications by
Annex I Parties contained in the annex to this note. On this basis,
the SBSTA may recommend to the COP at its second session that the
Conference adopt revised guidelines for the preparation of national
communications by Annex I Parties, taking into account the
conclusions adopted on the methodological issues discussed in the
addendum to this note. The SBSTA may also recommend that the COP
request the SBSTA to consider possible additional revisions to the
guidelines arising from, inter alia, any modifications to
the IPCC Guidelines for National Greenhouse Gas Inventories and any
further consideration that may be required of the methodological
issues discussed in the addenda to this note.
Annex
PROPOSAL FOR REVISIONS TO THE GUIDELINES FOR THE
PREPARATION OF NATIONAL COMMUNICATIONS BY PARTIES
INCLUDED IN ANNEX I TO THE
CONVENTION(1)
Guidelines for the preparation of first
national(2)
communications by Annex I Parties*
1. The guidelines for the preparation of communications by
Annex I Parties have three principal purposes:
(a) To assist Annex I Parties in meeting their commitments
under Articles 4 and 12;
(b) To facilitate the process of considering the national
communications, including the preparation of useful technical
analysis and synthesis documentation, by encouraging the presentation
of information in ways that are consistent, transparent and
comparable; and
(c) To ensure that the Conference of the Parties (COP) has
sufficient information, in accordance with Article
4.2(d), to carry out its responsibilities to review the
implementation of the Convention and the adequacy of the commitments
in Article 4.2(a) and (b).
Coverage
2. In accordance with Articles 4.1(j) and 12.1(b), a
communication should address the full range of a Party's actions to
implement all its Convention obligations, including those relating to
adaptation, research, education and other actions, in addition to
those to limit emissions and enhance sinks. With regard to Annex II
Parties, this would include measures to implement Article 4.3, 4.4
and 4.5.
3. In accordance with Articles 4 and 12, a communication
should address all anthropogenic emissions and removals of all
greenhouse gases not controlled by the Montreal
Protocol.
Cross-cutting issues
4. Quantitative data related to inventories and
projections of greenhouse gas emissions and removals should be
presented on a gas-by-gas basis in units of mass (Gg)
with emissions by sources listed separately from removals by
sinks, except in cases where it is technically impossible to separate
information on sources and sinks in the area of land-use
and land-use
change and
forestry.(3)
____________
* See document A/AC.237/55, annex to decision
9/2.
5. Apart from communicating emissions in units of
mass, Parties may choose also to use global
warming potentials (GWPs) to reflect their inventories and
projections in carbon dioxide-equivalent terms using information
provided by the Intergovernmental Panel on Climate Change (IPCC) in
its Second Assessment Report 1992
supplementary report, pending the decision of the Conference of the
Parties at its first session (COP 1). While awaiting updated
information from the IPCC,
a.(4)
Any use of GWPs should be based on the
direct total
effects of the greenhouse gases over a 100-year time horizon. In
addition, Parties may also make use of at least one other time
horizon. and may also include, separately,
data incorporating the indirect effects of methane. This is only the
initial focus and, for future communications, indirect effects of
other greenhouse gases will have to be looked at, as far as
scientific understanding allows.
6. Taking into account the provisions of Article 4.2(b),
and in accordance with the conclusions of the Committee at its eighth
session, the year 1990 should be the base year for inventories. The
provisions of Article 4.6 are relevant in this context for the
Parties included in Annex I undergoing transition to a market
economy, and those Parties in their communications should propose to
the COP the kind of flexibility they are seeking according to that
Article.
7. Parties may, if they so desire, also provide
greenhouse gas inventory information for years subsequent to
1990.(5)
8. The Convention requires that Parties provide
information on projected anthropogenic emission s by sources and
removals by sinks (Article 4.2(b)) as well as specific estimates of
the effects of policies and measures on those levels (Article
12.2(b)). An effective process for the consideration of such
information requires that such projections be provided for at least
one common reference year. Taking account of the time period
specified in Article 4.2(a), data should be provided for the year
2000. Parties are also encouraged to provide information for one or
more years prior to 2000. In view of the objective of the Convention
and the intent to modify longer-term trends in emissions, Parties are
further encouraged to
include projections, if possible on a
quantitative basis, that go beyond 2000 (for example, to 2005 and/or
2010).(6)
9. The transparency of national communications is
fundamental to the success of the process for the communication and
consideration of information. This transparency is particularly
important for inventories of emissions and removals of
greenhouse gases and for projections and assessments of the
effects of measures.
10. When national communications present quantitative data
related to inventories and projections of greenhouse gas emission and
removal levels, the level of uncertainty associated with these data
and underlying assumptions should be discussed qualitatively and,
where possible, quantitatively.
10bis. Parties should provide additional relevant
background information, if possible, but not necessarily, in a
working language of the secretariat. Such information should include
documentation on emission factors used, activity data, and other
relevant assumptions, as well as technical reports on the projections
analysis.(7)
10ter. When reporting on policies and measures and
projections, Parties may refer to the "Methods for assessment of
mitigation options" (chapter 27) and appendices 1-4, contained in
"Climate Change 1995: IPCC Second Assessment Report, Volume III,
Scientific-Technical Analyses of Impacts, Adaptations and Mitigation
of Climate Change: contribution of Working Group II of the
IPCC".
Inventories
11. Article 12.1(a) requires that communications include a
national inventory of anthropogenic emissions by sources and removals
by sinks of all greenhouse gases not controlled by the Montreal
Protocol. At a minimum, information should be provided on the
following greenhouse gases: carbon dioxide (CO2), methane
(CH4), and nitrous oxide
(N2O), perfluorocarbons (PFCs), hydrofluorocarbons
(HFCs), and sulphur hexafluoride (SF6). Parties
are also encouraged to provide information on the precursors carbon
monoxide (CO), nitrogen oxides (NOx) and volatile organic
compounds (VOCs), as well as on other greenhouse gases,
including, inter alia,
perfluorocarbons (PFCs), hydrofluorocarbons (HFCs), and sulphur
hexafluoride (SF6). Parties may also
provide inventory data on sulphur oxides. As new gases with
significant global warming potentials are identified, they should be
included in the
communications.(8)
Where methodological or data gaps exist, information should
be presented in a transparent manner.
11bis. Parties may
should, if they so desire,
also provide greenhouse gas inventory information for years
subsequent to 1990. Data should be provided for each year
(where appropriate, updated) for the period 1990-1994 and, where
available, for 1995. If possible, data should also be provided in an
electronic version.(9),
(10)
12. The IPCC
Draft(11) Guidelines
for National Greenhouse Gas Inventories should be used in estimating,
reporting and verifying inventory data, subject to paragraph
14 below(12). These
inventory guidelines offer a default methodology available to any
country that wishes to use it. Countries that already have an
established and comparable methodology could continue to use that
methodology, provided that they include sufficient documentation to
back up the data presented. For Parties using the CORINAIR
methodology or other "bottom-up" approaches, this would entail
providing activity data and disaggregated emission factors as well as
details of the correspondence between the IPCC source categories and
those of the CORINAIR or other "bottom-up" approach
used.(13)
Standard tables and formats recommended in the IPCC
Draft Guidelines for National Greenhouse Gas
Inventories(14) should be
used for presentation of data.
12bis. Parties should also provide inventory
information on energy use for the three broad categories of
industrial, commercial and residential uses, as such information
would assist comparability and provide useful information to policy
makers when considering the performance and potential of response
measures.(15)
12ter. With regard to possible double counting or
non-counting of emissions, Parties should provide a brief description
of how feedstocks have been considered in the industrial processes
source category of the inventory, in particular in the production of
iron and steel and non-ferrous metals. Parties should also provide a
brief explanation of the way in which CO2 emissions in the
waste source category have been considered, in particular indicating
whether the IPCC methodology has been followed in excluding
CO2 emissions from organic waste combustion or aerobic
decomposition of biogenic products and including emissions from
fossil-fuel based products (plastics and
hydrocarbons).(16)
13. To ensure transparency, enough information should be
provided to allow the reconstruction of the inventory from national
activity data, emission factors and other assumptions, and to assess
the results. Annex I Parties should follow the IPCC
Draft Guidelines for National Greenhouse Gas
Inventories(17) with respect
to the presentation of methodologies, activity data, emission factors
and other assumptions. Standard data tables do not provide
the level of detail necessary to enable the reconstruction of an
inventory. In this connection, IPCC worksheet 1.1 indicating the
assumptions used to estimate CO2 emissions from fuel
combustion, using the IPCC Reference Approach, should be
provided.(18)
14. In providing information on emissions from
international aviation and marine bunker fuels, Parties should
include such data, in a separate category, in their inventories of
emissions on the basis of fuel sold and should, as far as possible,
not include them in total national emissions. (This is in accordance
with United Nations energy statistics practice but is different from
the proposals in the IPCC Draft
Guidelines).(19)
15. If Parties wish in addition to present their inventory
data in other forms, inter alia, greenhouse gas emissions per
capita, this information could be provided in a section of the
national communication dealing with basic data (national
circumstances). If possible, it would also be desirable to include
some information on historical trends (for example, emissions and
removals over the period 1970-1990) so as to put the inventory
information in context.
15bis. In providing information on sequestration
of carbon, Parties should provide the information in the worksheets
provided in the IPCC Guidelines for National Inventories, for each
category in the following tables: changes in forest stocks (table 5A,
sheet 3), forest and grassland conversion (table 5B, sheet 5), and
abandonment of managed lands (table 5C, sheet 3). Emissions of other
greenhouse gases associated with these activities should also be
listed, as appropriate. Historical trends should be included where
available. Even if Parties do not use the IPCC default methodology,
the results should be presented using the IPCC reporting
format.(20)
Policies and measures
16. Article 12.2 requires Annex I Parties to communicate
information on policies and measures they have adopted to implement
their commitments under Article 4.2(a) and (b). The national
communications should describe all of a Party's policies and measures
implemented or committed to since the base
year(21) that the Party
believes contribute significantly to its efforts to reduce emissions
and enhance sinks of greenhouse gases. These actions need not have as
a primary objective the limitation of greenhouse gas emissions.
Parties should identify which policies and measures are most
important for the mitigation of greenhouse gas
emissions.
17. Parties may are also
encouraged to provide information on actions
implemented by regional and local governments or the private sector,
ensuring that double-counting is avoided. However, some aggregation
may be appropriate to maximize the utility of such information. The
communications could also note policies and measures that have been
adopted in the context of international or regional efforts towards
coordination, as appropriate, of economic and administrative
instruments in accordance with Article
4.2(e)(i).(22)
18. The overall policy context for the policies and
measures adopted should be presented. This could include reference to
other relevant polices as well as elaboration of national greenhouse
gas targets.
19. Communications of policies and measures should be
organized by gas and by sector(23).
This should, to the extent possible, be consistent with the
categories set out in the IPCC Draft Guidelines
for National Greenhouse Gas
Inventories(24) for
inventories. The description and evaluation of each
policy and measure should examine reductions in all of the relevant
gases listed in paragraph
11.(25) Their description
should, in principle, be structured along the following lines, as
appropriate: (26)
Carbon dioxide
Energy and transformation industries
Transport
Industry (energy-related)
Industry (non-energy)
Residential, and
commercial and
institutional(27)
Fugitive fuel emissions
Agriculture
Land-use change and forestry
Cross-sectoral
Methane
Waste management (including sewage treatment)
Agriculture (non-energy)
Fugitive fuel emissions
Industry (non-energy)
Industry (energy-related)
Nitrous oxide
Industry (non-energy)
Industry (energy-related)
Agriculture (non-energy)
Transport
Energy and transformation industries
Other greenhouse gases and precursors
(28)
Transport
Energy and transformation industries
Industry (non-energy)
Industry (energy-related)
Residential, and
commercial and
institutional(29)
Land-use change and forestry
Solvent and other product use
20. To facilitate transparency, enough detail should be
provided about each individual policy and measure described in the
text of the national communication to allow a third
party to understand the action's objective and degree of
implementation, as well as how the greenhouse gas effects of the
action will be monitored over time. The following information should
be included in the description of individual policies and
measures:(30)
(a) Objective(s) of the measure in terms of the gas(es)
and sector(s) targeted;
(b) Type of policy instrument used by the measure (e.g.
regulatory, fiscal, education, voluntary, research and development
related to mitigation measures);
(c) How the policy or measure interacts with other
policies and measures described;
(d) Status of implementation of the policy or measure.
(This should, where appropriate, make reference to a section of the
national communication related to national circumstances that
describes the policy-making process in the country or
organization);
(e) How the measure is expected to function or is
functioning; and
(f) Intermediate indicators of progress for policies and
measures. (These may be related to legislative processes,
emissions-related activities or the broader objectives of the
policies and measures).
21. In their description of policies and measures, Parties
may should also
provide information relating to the cost of the policy or
measure.(31)
22. Parties may also briefly describe, in a
section of the national communication dealing with basic data
(national circumstances), policies and measures adopted and
implemented before the base year that will have a significant effect
on greenhouse gas emissions and removals after the base
year.(32)
22bis. Parties should report on action taken to
implement commitments under Article 4.2(e)(ii) of the Convention,
which requires that Parties identify and periodically review their
own policies and practices which encourage activities that lead to
greater levels of anthropogenic emissions of greenhouse gases not
controlled by the Montreal Protocol than would otherwise occur. Such
information could include, for example, details on financial support,
price regulations, trade policies and investment/planning controls
for energy-intensive activities, such as power generation and
transportation.(33)
23. Under the rubric of Article 12.1(b),
Parties may also briefly describe in a separate section of the
national communication, policies and measures under consideration
that have not yet been adopted or committed
to.(34)
23bis. Parties should include in each
communication a standard table summarizing information on policies
and measures, with all fields of the table filled in, to the extent
possible. The table should include the following basic information to
be provided for each policy or measure: the type of policy instrument
(for example, economic instrument, regulation or guideline, voluntary
agreement, and information, education and training), the status of
the funding of the policy or measure, its legal status and a
quantitative estimate of its mitigation impact, or, if unavailable, a
ranking of individual policies and measures according to their
relative importance in
mitigation.(35)
Parties should use table 1 in appendix III to summarize the
information provided on policies and
measures.(36)
Activities implemented jointly
23ter. Bearing in mind that a separate and
distinct process for reporting on activities implemented jointly has
been established by decision 5/CP.1 of the COP, and by the adoption
by the SBSTA at its second session of the initial framework for
reporting activities implemented jointly, Parties may wish to include
relevant summary information on activities implemented
jointly.
Projections and assessment of effects of
measures
24. In accordance with Article 4.2(b), national
communications should include a projection of future greenhouse gas
emission and removal levels. The projection should, to the extent
possible, incorporate the effects of policies and measures that are
implemented or committed
to(37) when the national
communication is produced (that is, a "with measures" scenario). In
the interest of transparency, Parties should
are encouraged
to(38) include "without
measures" scenarios.
25. At a minimum, projections would be made of future
emissions and removals of the following three greenhouse gases:
CO2, CH4, and N2O. Parties
should are encouraged to provide
projections of other greenhouse gases as well. Where methodological
or data gaps exist, information should be presented in a transparent
manner.
25bis. The Convention requires that Parties provide
information on projected anthropogenic emissions by sources and
removals by sinks (Article 4.2(b)) as well as specific estimates of
the effects of policies and measures on those levels (Article
12.2(b)). An effective process for the consideration of such
information requires that such projections be provided for at least
one common reference year. Taking account of the time period
specified in Article 4.2(a), data should be provided for the year
2000. Parties are also encouraged to provide information for
one or more years prior to 2000. In view of the objective of
the Convention and the intent to modify longer-term trends in
emissions, Parties are further encouraged to
should also include projections, if
possible on a quantitative basis,
that go beyond 2000 (for example, to 2005 and/or
2010).for the years 2005, 2010 and 2020, recognizing
that uncertainties will be greater in more distant
years.(39),
(40)
26. While Parties should present the projection on a
gas-by-gas basis, as indicated in paragraph 4 above, they
should may also disaggregate the
results by sector.(41)
26bis. Parties should summarize the projections
data using tables 2-7 in appendix
III.(42)
26ter. Parties are encouraged to present
projections from levels of emissions in 1990 - or other base years
for some Annex I Parties with economies in transition - that are
consistent with 1990 inventory data. Any differences should be
explained.(43)
27. In accordance with Article 12.2(b), national
communications should provide a specific estimate of the total effect
on greenhouse gas emissions and removals of policies and measures.
This specific estimate should, to the extent possible, take into
account all policies and measures implemented or committed to since
the base year (as outlined in paragraph 16 of this
annex).
28. In addition, Parties should, wherever possible,
provide estimates of the effect of individual policies and measures
on future greenhouse gas emissions and removals. This section
could describe a sequence of events that bring about a reduction in
emissions or a combination of instrument types or synergies with
other measures. Parties may also describe the mechanisms that lead to
reductions, as well as how they arrived at their
estimates.(44)
29. In the interests of transparency, when projecting
greenhouse gas emissions and removals, and estimating the
specific total effect of policies
and measures on emissions and removals, Parties should:
(a) Be free to use the model(s) and/or approach(es) they
are most familiar with and which, in their view, provide the most
accurate results;
(b) Provide enough information to allow a third party to
obtain a qualitative understanding of the model(s) and/or
approach(es) used and their relationship to each other;
(c) Summarize strengths and weaknesses of the model(s)
and/or approach(es) used and provide an indication of their
scientific and technical credibility; and
(d) Ensure that the model(s) and/or approach(es) used
account for any overlap or synergies that may exist between different
policies and measures.
30. To ensure transparency, national communications should
include enough information to provide a third party with a
quantitative understanding of the key assumptions used to develop
projection(s) of greenhouse gas emissions and removals and
specific estimate(s) of the total
effects of policies and measures on emissions and removals. Taking
into account paragraph 6 above, values of key
variables assumptions should be
clearly presented for the base year and values of key
assumptions(45) for
2000, and for other years such as 1995, 2005, 2010
and 2020. Parties should could
also provide information for the base year and 2000 on other
key outputs of the model(s) and/or approach(es) used. Parties
should summarize key variables and assumptions by completing table 8
in appendix III.(46)
In addition, Parties may draw upon the illustrative
lists of possible key assumptions and outputs attached as
an included in appendix
I.
30bis. If, in the projections analysis, Parties
carry out any adjustments to base year emissions, for example for
climate variations or trade patterns in electricity, these
adjustments should be reported in a transparent manner, with clear
indications of the method followed. Both adjusted and unadjusted data
should be
provided.(47)
31. When providing a qualitative discussion of the
uncertainty associated with the results of projections and specific
estimates of effects (see paragraph 10 above), Parties are encouraged
to present the findings of sensitivity analyses illustrating how the
results would be affected by changes in key assumptions.
Vulnerability assessment and adaptation
measures
32. A communication should review briefly the expected
impacts of climate change for the Party concerned and outline the
actions taken to implement Article 4.1(b) and (e) with regard to
adaptation. Parties are encouraged to use the IPCC Technical
Guidelines for Assessing Climate Change Impacts and
Adaptations.(48)
Parties could refer, inter alia, to integrated plans for
coastal zone management, water resources and
agriculture.(49)
Finance and technology (for Annex II
Parties only)
(a) Overview information
33. Annex I Parties should provide an overview of
activities undertaken in 1994, 1995, 1996 that facilitated transfer
of or access to technologies.(50)
(51) Information on
technologies that control, reduce or prevent emissions of greenhouse
gases or enhance removals by sinks should be provided on a sectoral
basis,(52) and, where relevant,
include the following
activities:(53)
- research, development and evaluation of
technologies;
- technology centres and networking;
- technology-related education and
training;
- enhancement of market deployment of
climate-friendly technologies;
- adaptation; and
- other activities, as
appropriate.
(b) Financial data
33bis. In accordance with Article 12.3, Annex II
Parties should incorporate details of measures taken in accordance
with Article 4, paragraphs 3, 4 and 5. In particular, Parties should
indicate how they have fulfilled commitments to provide "new and
additional financial resources". Taking into account
Articles 11 and 21.3, t The communications
from Annex II Parties should report on actions to meet the
obligations contained in Article 4.3, 4.4 and 4.5 by
including:
(a) Information on financial
contributions to the operating entity or entities of the
financial mechanism (whether such are designated interim or
permanent), and to regional and other
multilateral institutions and programmes, according to the format
outlined in table 9 of appendix III, for the years 1994, 1995 and, if
available, 1996; and
(54)
(b) Information on financial resources provided through
bilateral, regional and other multilateral channels
for the implementation of the Convention (Article 11.5),
specifying whether such resources are related to climate
change mitigation or adaptation; and in the format
outlined in table 10 of appendix III, for the years 1994, 1995 and,
if available, 1996. Parties should also provide
information indicating amounts and percentages of official
development assistance, indicating, where possible, amounts spent on
climate change related projects.
(c) Other appropriate information, particularly
with regard to technology transfer or access, with a delineation
between governmental and private sector
initiatives.
34. To the extent possible, the communications
from Annex II Parties could
should include information on expected future
resource allocations consistent with the Convention provisions
relating to predictable and identifiable resources (Article
11.3(d)).
(c) Private and public sector project
information
34bis. Parties should provide a detailed
description of 10 to 20 of the most innovative public sector projects
or programmes that facilitated transfer of or access to "hard" and
"soft" technologies in 1994, 1995 or 1996. Information should be
presented according to the format outlined in table 11 of appendix
III. In this discussion, a distinction should be drawn between
government activities and government actions that facilitate private
sector
activities.(55)
34ter. In addition, Parties are encouraged to use
the same format to provide a detailed description of 10 to 20 of the
most important private sector projects or programmes that facilitated
transfer of or access to "hard" and "soft" technologies in 1994, 1995
or 1996.(56)
Research and systematic observation
35. Pursuant to Articles 4.1(g), 5 and 12.1(b), Annex I
Parties should communicate information on their actions relating to
research and systematic observation. This could include, inter
alia, information on:
- Research on the impacts of climate change
- Modelling and prediction, including global circulation
models
- Climate process and climate system studies
- Data collection, monitoring and systematic observation,
including data banks
- Socio-economic analysis, including both of the impacts
of climate change and of response options
- Technology research and development
36. The communications could address both domestic
programmes and international programmes, for example, the World
Climate Programme and the International Geosphere-Biosphere
Programme, and the IPCC. They should also reflect actions taken to
support related capacity building in developing
countries.
37. The communications should be limited to reporting on
actions undertaken rather than the results of such
efforts.(57) For example, the results
of research studies or model runs should not be
included.
Education, training and public
awareness
38. In accordance with Articles 4.1(i), 6 and 12.1(b),
Annex I Parties should communicate information on their actions
relating to education, training and public awareness. This would
include information on relevant domestic programmes and participation
in international activities. For example, the extent of public
participation in the preparation or domestic review of the national
communication could be reflected.
Special considerations
39. Article 4 of the Convention includes two paragraphs
that allow for the provision of special consideration to certain
Annex I Parties. Article 4.6 provides that "a certain degree of
flexibility" shall be allowed by the COP to the Annex I Parties
undergoing the process of transition to a market economy. Article
4.10 requires the Parties, in the context of Article 10, to take into
consideration the situation of Parties with economies vulnerable to
the adverse effects of the implementation measures to respond to
climate change.
40. Some Annex I Parties may, in the context of their
first communications, seek to be accorded such
"flexibility" or "consideration". If this were to be the case, those
Parties should be expected to state clearly the special consideration
they were seeking and to provide an adequate explanation of their
circumstances.
Basic data (national circumstances)
41. Although not explicitly required by the Convention, a
Party may wish to provide other information relevant to its
greenhouse gas emission/removal profile. This would permit readers to
put the information on its implementation of the Convention in
context, could help to explain certain trends and would provide data
valuable in the analysis and aggregation of the submissions. The
information would tend to be "historical" in character, although the
appropriate time period would vary from country to country. Relevant
information could include the following:
(a) Population profile, for example, growth rates,
population density and distribution, with some historical perspective
(e.g. 1970-1990), and greenhouse gas emission per
capita;
(b) Geographic profile;
(c) Climatic profile, for example, data on heating and
cooling degree days and rainfall;
(d) Economic profile, for example, energy prices,
energy taxes, fuel taxes, electricity prices, vehicle taxes,
agricultural subsidies, information on the market structure in
electricity, natural gas, coal and oil
markets,(58) gross domestic
product (GDP), GDP per capita, GDP growth rates, GDP by sector, and
imports and exports, with some historical perspective (e.g.
1970-1990), and greenhouse gas emissions per GDP;
(e) Energy profile, for example, energy consumption (by
sector, fuel type, per capita, per unit of GDP), energy
self-sufficiency, energy intensity and 1990 energy pricing
for commercial and non-commercial consumers (including taxes), with
some historical perspective (e.g. 1970-1990);
and
(f) Social profile, for example, information such as
average dwelling size, number of vehicles per capita and per family
unit, and personal and freight traffic (billions km/person) by type
(air, rail, road and public/private).;
and
(g) For sectors emitting large quantities of
greenhouse gases, an outline of which level of Government has
responsibility for implementing which policies and measures that
impact on greenhouse gas
emissions.(59)
Structure and executive summary
42. The minimum set of information identified in these
guidelines should be communicated by a Party to the COP in a single
document. Any additional or supporting information may be supplied in
the main document or through other documents such as a technical
annex.
43. A communication should include an executive summary
that would present the key information and data from the full
document. The executive summaries will be translated and distributed
widely. In view of the limits on translation, it would be useful to
envisage an executive summary of no more than 10 pages.
43bis. Parties are encouraged to organize the
information communicated according to the indicative outline provided
in appendix
II.(60)
Language
44. National communications may be submitted in one of the
working languages of the United Nations. This would be without
prejudice to the ulterior determination of official and working
languages for the COP and the subsidiary bodies and for the
Convention secretariat. Annex I Parties are also encouraged to
submit, to the extent possible and where relevant, a translation of
their communication into English.
Length
45. The length of a communication should be decided by the
submitting Party. Every effort should be made to avoid overly lengthy
communications in order to reduce the paper burden and to facilitate
the consideration process. Parties are encouraged to provide
electronic versions of communications.
Appendix I
Examples of key assumptions that may be required to
project greenhouse gas emissions
and removals or to estimate the specific effects of
policies and
measures(61)
Assumptions on exchange rates between the domestic
currency and the United States dollar
World oil price (US$/bbl)
Domestic energy prices (national currency/litre -
fuel oil, gasoline, diesel; national currency/tonne - coal; national
currency/kwh - electricity)
GDP level (national currency) and annual growth rate
(consistent with economic forecasts of the Party)
Population level (millions) and compound annual
growth rate
Interest rate
Annual rate of autonomous energy efficiency improvement in
total and by sector
Total housing, including turnover (number of dwellings)
Commercial floor space, including turnover (thousands of
square kilometres)
Index of manufacturing production (specify index
year = 100)
Index of industrial production (specify index year
= 100)
Average new vehicle fuel economy by vehicle type
(litres/100 km)
Vehicle-kilometres travelled by vehicle type (thousands)
Policy context (description of significant measures that
reduce emissions or enhance removals that have been incorporated in
the projection, as well as how they were incorporated)
Rate of penetration and absolute levels of use of new
end-use technologies
Examples of other key outputs that may be produced when
projecting greenhouse gas emissions and removals or estimating the
specific effects of policies and measures
Primary energy production by fuel type (petajoules)
Primary energy demand by fuel type, as well as electricity
(petajoules)
Energy demand by sector (petajoules)
Final energy consumption by end-use (petajoules)
Head of livestock (thousands by species)
Rice cultivation (area cultivated in hectares)
Nitrogen fertilizer and manure use (tonnes of nitrogen)
Forest area cleared (thousands of hectares)
Waste landfilled (tonnes)
Waste water biochemical oxygen demand (kg)
Energy imports/exports (petajoules)
Primary energy per unit of production in the industrial
and commercial sectors
Energy consumption per square metre in the residential and
commercial sectors
Primary energy for transport (per tonne-km or
passenger-km)
Electricity and heat produced per unit of fuel used in
thermal power stations
Appendix II
Indicative outline for presentation of
information in communications
1. Executive summary
2. Introduction
3. National circumstances
4. Inventories of anthropogenic emissions and
removals
5. Policies and measures
6. Projections and effects of policies and
measures
7. Expected impacts of climate change and
vulnerability assessment
8. Adaptation measures
9. Financial assistance and technology
transfer
10. Research and systematic
observation
11. Education, training and public
awareness
Appendix III
Table 1. Summary of policies and measures:
CO2
Name of policy / measure
|
Type of instrument
|
Objective and/or Method of achieving reduction (including
description of how effects take place)
|
Sector
|
Status of implementation
(planned / implemented; legislation passed or not; status
of funding)
|
Estimate of mitigation impact
|
Monitoring: intermediate indicator of progress
|
2000
|
2005
|
2010
|
2020
|
1.
|
|
|
|
|
|
|
|
|
|
2. etc.
|
|
|
|
|
|
|
|
|
|
Similar tables should be completed for
CH4, N2O, NOx, NMVOCs, CO, PFCs,
SF6 and HFCs.
Table 2. Summary of projections of anthropogenic
emissions of CO2(gigagrams)
|
1990
|
1995
|
2000
|
2005
|
2010
|
2020
|
Energy & transformation
|
|
|
|
|
|
|
Industry
|
|
|
|
|
|
|
Residential
|
|
|
|
|
|
|
Commercial/
Institutional
|
|
|
|
|
|
|
Transport
|
|
|
|
|
|
|
Other
|
|
|
|
|
|
|
Total
|
|
|
|
|
|
|
Table 3. Summary of projections of removals of
CO2 by sinks and reservoirs(gigagrams)
|
1990
|
1995
|
2000
|
2005
|
2010
|
2020
|
Agricultural systems
|
|
|
|
|
|
|
Managed forest systems
|
|
|
|
|
|
|
Grazing systems
|
|
|
|
|
|
|
Other processes
|
|
|
|
|
|
|
Total removals
|
|
|
|
|
|
|
Table 4. Summary of projections of anthropogenic
emissions of CH4 (gigagrams)
|
1990
|
1995
|
2000
|
2005
|
2010
|
2020
|
Fuel Combustion
|
|
|
|
|
|
|
Fugitive fuel emissions
|
|
|
|
|
|
|
Industrial processes
|
|
|
|
|
|
|
Livestock production systems
|
|
|
|
|
|
|
Rice production systems
|
|
|
|
|
|
|
Waste
|
|
|
|
|
|
|
Other
|
|
|
|
|
|
|
Total
|
|
|
|
|
|
|
Table 5. Summary of projections of anthropogenic
emissions of N2O (gigagrams)
|
1990
|
1995
|
2000
|
2005
|
2010
|
2020
|
Transport
|
|
|
|
|
|
|
other energy sources
|
|
|
|
|
|
|
Industrial processes
|
|
|
|
|
|
|
Agriculture
|
|
|
|
|
|
|
waste
|
|
|
|
|
|
|
other
|
|
|
|
|
|
|
total
|
|
|
|
|
|
|
Table 6. Summary of projections of anthropogenic
emissions of other greenhouse gases (gigagrams)
|
1990
|
1995
|
2000
|
2005
|
2010
|
2020
|
SF6
|
|
|
|
|
|
|
HFCs
|
|
|
|
|
|
|
PFCs
|
|
|
|
|
|
|
other (specify)
|
|
|
|
|
|
|
Table 7. Summary of projections of anthropogenic
emissions of precursors and SOx (gigagrams)
|
1990
|
1995
|
2000
|
2005
|
2010
|
2020
|
CO
|
|
|
|
|
|
|
NOx
|
|
|
|
|
|
|
NMVOCs
|
|
|
|
|
|
|
SOx
|
|
|
|
|
|
|
Table 8. Summary of key variables and assumptions
in the projections analysis
|
1990
|
1995
|
2000
|
2005
|
2010
|
2020
|
World coal prices
(US$/ton)
|
|
|
|
|
|
|
World oil prices
(US$/bbl)
|
|
|
|
|
|
|
Domestic energy prices (by fuel type and for electricity)
for different relevant sectors
(e.g. residential, commercial and institutional;
industry; transport)
|
|
|
|
|
|
|
GDP
(domestic currency)
|
|
|
|
|
|
|
Population
(millions)
|
|
|
|
|
|
|
New vehicle efficiency (by vehicle type)
(litres/100km)
|
|
|
|
|
|
|
Average vehicle km travelled
|
|
|
|
|
|
|
Primary energy demand
(Petajoules)
|
|
|
|
|
|
|
Index of manufacturing production (1990=100)
|
|
|
|
|
|
|
Index of industrial production (1990=100)
|
|
|
|
|
|
|
Other
|
|
|
|
|
|
|
Table 9. Financial contributions to the operating
entity or entities of the financial mechanism, regional and other
multilateral institutions and programmes
|
Contributions
(millions of US dollars)
|
1994
|
1995
|
1996
|
Global Environment Facility
|
|
|
|
Multilateral institutions
1. World Bank
2. International Finance Corporation
3. African Development Bank
4. Asian Development Bank
5. European Bank for Reconstruction and
Development
6. Inter-American Development Bank
7. United Nations Development Programme
8. Other
a)
b)
c)
|
|
|
|
Multilateral scientific programmes
1.
2.
3.
4.
5.
|
|
|
|
Multilateral technology programmes
1.
2.
3.
4.
5.
|
|
|
|
Multilateral training programmes
1.
2.
3.
4.
5.
|
|
|
|
Table 10. Bilateral financial contributions for
the implementation of the Convention, 1994
(millions of US dollars)
|
Mitigation
|
Adapt-
ation
|
Other*
|
Recipient
country
|
Energy
|
Transport
|
Forest
|
Agriculture
|
Waste
manage-
ment
|
Industry
|
1.
|
|
|
|
|
|
|
|
|
2.
|
|
|
|
|
|
|
|
|
3.
|
|
|
|
|
|
|
|
|
4.
|
|
|
|
|
|
|
|
|
5.
|
|
|
|
|
|
|
|
|
6.
|
|
|
|
|
|
|
|
|
7.
|
|
|
|
|
|
|
|
|
8.
|
|
|
|
|
|
|
|
|
9.
|
|
|
|
|
|
|
|
|
10.
|
|
|
|
|
|
|
|
|
11.
|
|
|
|
|
|
|
|
|
12.
|
|
|
|
|
|
|
|
|
13.
|
|
|
|
|
|
|
|
|
14.
|
|
|
|
|
|
|
|
|
15.
|
|
|
|
|
|
|
|
|
16.
|
|
|
|
|
|
|
|
|
17.
|
|
|
|
|
|
|
|
|
18.
|
|
|
|
|
|
|
|
|
19.
|
|
|
|
|
|
|
|
|
20. All other
|
|
|
|
|
|
|
|
|
* For greenhouse gas inventories, as under
Article 4.1(a).
Similar tables should be completed for 1995 and
1996.
Table 11. Projects or programmes that facilitate
transfer of or access to "hard" and "soft"
technologies
Project / programme title:
|
Purpose:
|
Recipient country
|
Sector
|
Total funding
|
Years in operation
|
|
|
|
|
Description:
|
Ministry or company, contact person, address and phone
number:
|
Impact on GREENHOUSE GAS emissions/sinks
(optional):
|
This table should also be used be used to provide
a detailed description of 10 to 20 of the most important private
sector projects or programmes that facilitated transfer of or access
to "hard" and "soft" technologies in 1994, 1995 or 1996, as described
in paragraph 34ter. of this annex.
Notes
1. 1 One Party (Poland)
expressed the opinion, in its submission to the secretariat, that it
was premature to introduce substantial changes, and that second
communications should be prepared on the basis of the guidelines for
first communications. Submissions by Parties are compiled in document
FCCC/SBSTA/1996/MISC.4.
2. 2 This change was
proposed by a Party (the United States) in its submission to the
secretariat.
3. 3 This change has been
proposed to ensure consistency with the terminology used in the IPCC
Guidelines for National Greenhouse Gas Inventories.
4. 4 The changes here are
based on the submissions by two Parties (Australia and the United
States). It should be noted that issues related to GWPs are also
discussed in the addendum to this document on methodological issues.
5. 5 This paragraph has been
moved to the section on inventories, and now has paragraph number
11bis.
6. 6 This paragraph has been
moved to the section on projections, and now has paragraph number
25bis.
7. 7 The proposal contained
in paragraph 25 of document FCCC/SBSTA/1996/3 was supported by a
Party (Australia) in its submission to the secretariat. Another Party
(Switzerland) noted that the availability of such material in an
official language of the United Nations was limited, as were funds
for translation.
8. 8 A Party (the United
States) proposed that the minimum reporting requirements be extended
to include additional important greenhouse gases. It also advanced
the proposal that Parties should report on emissions of sulphur
oxides owing to the mounting evidence of the importance of aerosols
to climate patterns.
9. 9 This paragraph,
formerly paragraph 7, has been moved from the section on
cross-cutting issues as it relates to inventories only.
10. 10 It should be noted
that by decision 3/CP.1, the COP requests Parties to submit national
inventory data on emissions by sources and removals by sinks on an
annual basis, recognizing that for some greenhouse gases and sectors
or activities annual data may be less readily available or less
relevant; on this basis, data (where appropriate, updated) for the
period 1990-1993 and, where available, for 1994 should be provided by
15 April 1996; data for subsequent years should be provided annually
on 15 April, following the same principles. A Party (Switzerland)
expressed its interest in contributing to discussions on the
frequency of reporting of inventory data, in particular
implementation of a selective approach based on data availability and
improvements in estimation methods.
11. 11 At its second
session, the SBSTA endorsed proposals contained in document
FCCC/SBSTA/1996/3 regarding the revisions to the Guidelines to ensure
consistency with COP 1 decisions (document FCCC/SBSTA/1996/8, para.
60). This change would ensure consistency with decision 4/CP.1, and
is discussed in paragraph 26 of document FCCC/SBSTA/1996/3.
12. 12 This phrase would
not be required if paragraph 14 were deleted, as proposed in this
note.
13. 13 As indicated in the
second compilation and synthesis, a "bottom-up" approach was used by
17 Parties, 10 of which used the CORINAIR methodology. Of these, only
a few provided all these pieces of information in their national
communications.
14. 14 See endnote 11.
15. 15 This addition is
based on the suggestion made by a Party (Australia). The current IPCC
reporting requirements on inventories attribute emissions in the
energy sectors to the point of combustion, with the effect that all
electricity use is attributed to the electricity supply sector,
making it difficult to reconcile the quantitative impact of policies
and measures - which generally focus on energy use - and the
inventory. This issue is under discussion for possible inclusion in
revised IPCC Guidelines for National Greenhouse Gas Inventories. As
the process of reviewing these guidelines will not be completed
before the second session of the Conference of the Parties, the
recommendation was made that this reporting requirement be included
in the current version of the national communication guidelines.
16. 16 These areas were
identified in the compilation and synthesis and during in-depth
reviews as meriting clarification, as, frequently, they were not
covered in the communications. Providing a brief description on these
topics would not represent much additional work.
17. 17 See endnote 11.
18. 18 For Parties using
the IPCC methodology, to enable full reconstruction of the inventory,
with regard to standard table 1A, it would be necessary to provide,
in addition, worksheet 1.2 on traditional biomass burned for energy;
standard table 4C on rice cultivation - flooded rice fields would
require in addition worksheet 4.2 on methane emissions from flooded
rice fields; table 4E on prescribed burning of savannas should be
provided with worksheet 4.3 on this submodule; table 4F on field
burning of agricultural residues should be provided with worksheet
4.4 on this submodule; standard tables 5A through to 5D on land-use
change and forestry should be provided with all the related
worksheets; standard table 6A on solid waste disposal on land should
be provided together with worksheets 6.1 and 6.1 (supplemental); and
standard table 6B on waste water treatment should be provided
together with all the sheets of worksheets 6.2 and 6.3 on methane
emissions from domestic and commercial waste water treatment and
methane emissions from industrial waste water treatment. If Parties
feel that the provision of all this data on an annual basis is
onerous, one could envisage alternatives, such as the provision of
information to enable inventories to be reconstructed once every two
or every five years. The provision of this information, however,
should not require much additional work by Parties, and could reduce
the amount of supplementary material submitted.
19. 19 This paragraph is
redundant if the IPCC Guidelines for National Greenhouse Gas
Inventories are used, as they recommend reporting emissions from
bunkers separately. Furthermore, it should be noted that the addendum
to this document on methodological issues deals specifically with the
question of reporting on emissions from bunkers. When considering the
proposed changes to this paragraph, the SBSTA may also consider the
options presented in the section on bunkers of the addendum on
methodological issues.
20. 20 A Party (the United
States) suggested that, in the light of the inadequate reporting on
inventories of carbon sequestration, standardized reporting of a
number of important parameters would better present the status of
carbon sinks. The Party noted that little additional work would be
required of Parties as a result of this change, as it is likely that
this information would have been prepared in order to assemble the
sequestration data presented in their earlier communications. The
compilation and synthesis notes, in addition, with regard to this
source category, that 12 Parties did not present removals separately
from emissions. Furthermore, it is useful to note that the final IPCC
Guidelines for National Greenhouse Gas Inventories differ from the
Draft Guidelines for National Greenhouse Gas Inventories (which
Parties were recommended to use for the first national
communications) in that, in some instances, emissions and removals
are now to be reported separately in standard tables and worksheets.
Issues related to the land-use change and forestry sector are also
discussed in the addendum to this document on methodological issues.
When considering the proposed changes to this paragraph, the SBSTA
may also consider the options presented in the section on land-use
change and forestry of the addendum on methodological issues.
21. 21 In-depth review
reports indicate that some Parties had implemented policies and
measures with significant mitigation effects before the base year,
and which should also be included in the discussion.
22. 22 A Party (the United
States) suggested this change, noting that many cost-effective
options are available to regional and local authorities. The in-depth
review reports also stress the importance of action taken at the
state or local levels, in particular where jurisdiction for
implementation lies at these levels.
23. 23 A Party (the United
States) proposed, in its submission, that information on policies and
measures be presented by sector.
24. 24 See endnote 11.
25. 25 This text was
proposed by a Party (the United States) in its submission.
26. 1/ Parties need
include only those sectors where they have specific policies or
measures to describe. Sectors might be further disaggregated, or
other sectors added, as appropriate. Impacts of policies and measures
should be included under each appropriate gas and sector. They need
be described only once, where they have the most significant impact,
with appropriate cross-references.
27. 26 This change has been
introduced to ensure consistency with the IPCC terminology on source
categories.
28. 11/ Other
greenhouse gases might be disaggregated if appropriate.
29. 27 See endnote 26.
30. 28 A Party (Poland)
expressed the opinion that the word "should" ought to be changed to
"may", as it was not possible to fulfil the provisions in that
paragraph, inter alia, to protect trade and production
secrets. Two other Parties (Uzbekistan and Japan), however, felt that
there should be more precise instructions for describing policies.
31. 29 This change, which
was introduced at the suggestion of a Party (France), is intended to
reflect, inter alia, the growing importance of cost
efficiency in the international debate, its mention in the Convention
itself and, more recently, in the IPCC's Second Assessment Report,
and its importance in some of the work of the Global Environment
Facility. In this context, both during in-depth reviews and in the
compilation and synthesis, it has been noted that the term "cost of
policies and measures" could refer to different notions, including,
inter alia, cost-benefit analysis, marginal costs, total
costs of implementing a programme or sectoral plan (which might be
reflected in the budget allocation to that programme) and the total
cost at the national level, including impact on GDP.
32. 30 This paragraph
should be deleted if the change in paragraph 16 is retained.
33. 31 This addition is
based on the submission from a Party (France). It should be noted
also that, at the request of Parties (see annex I to decision 10/1 in
document A/AC.237/76), the compilation and synthesis of the first 15
national communications received by the secretariat (A/AC.237/81)
took up the issue of implementation of this commitment under the
Convention.
34. 32 In-depth reviews
indicated in several cases that projections described in the national
communications were based on policies and measures which were merely
planned and whose funding or legal status was uncertain, and which
subsequently were not implemented.
35. 33 A Party (Australia)
supported the suggestion made in paragraph 30 of document
FCCC/SBSTA/1996/3, but added that, in its experience, it was very
difficult in practice to distinguish between the impacts of closely
related measures focused on the same subsector. Thus the ranking of
individual policies and measures according to their relative
importance in mitigation would be a second-best option, but
nevertheless preferable to providing no discrimination at all on the
relative strengths of various policies and measures. Another Party
(Switzerland) also noted that detailed descriptions of measures and
expected effects were sometimes difficult, if not impossible, to
provide, and that ranking of measures according to their relative
importance was an interesting option. It noted further that to keep
reporting at a reasonable level, only the most important measures
should be included (for example, those accounting for more than 75
per cent of expected effects). As an alternative to a standard table,
a list of minimum items could be developed that characterize most
important measures.
36. 34 This suggestion was
made in response to the request by the SBSTA to provide more specific
guidance on the description of policies and measures and their
effects, using, where feasible, standardized formats and tables, and
also drew on the submissions from two Parties (the United States and
Japan).
37. 35 See endnote 32.
38. 36 This change is based
on the suggestion contained in the submission by a Party (the United
States), the justification for which was that this would help to
understand the Party's view of possible future emissions trends and
reduction efforts.
39. 37 This paragraph,
formerly paragraph 8, has been moved from the section on
cross-cutting issues as it relates to projections only.
40. 38 This change was
based on the submissions from three Parties. Australia also expressed
support for the secretariat's proposal contained in paragraph 19 of
document FCCC/SBSTA/1996/3, noting that, in part, this information
would assist in preparing global emissions projections. The United
States favoured the alternative formulation that projections be
provided 15 years into the future at five-year intervals. For
example, projections made now would provide information for the years
2000, 2005 and 2010; and by 2000, the communications would project
emissions for 2005, 2010 and 2015.
41. 39 This suggestion was
advanced by a Party (the United States) in its submission.
42. 40 This suggestion was
made in response to the request by the SBSTA that more specific
guidance be provided on the description of projections and underlying
assumptions, using, where feasible, standardized formats and tables,
and also drew on the submission by a Party (the United States).
43. 41 The compilation and
synthesis and in-depth reviews identified this as an area for
clarification.
44. 42 This change is based
on the suggestion contained in the submission by a Party (the United
States).
45. 43 Values for the base
year would be known, and would not have to be assumed.
46. 44 This proposal was
made by a Party (the United States) in its submission to the
secretariat.
47. 45 In its submission, a
Party (Australia) supported the inclusion of this text as discussed
in paragraph 37 of document FCCC/SBSTA/1996/3. In addition, it should
be noted that the issue of corrections to inventory data for trade in
electricity and for climate variation is discussed in greater detail
in the addendum to this document on methodological issues.
48. 46 This change has been
introduced to ensure consistency with decision 4/CP.1 of the COP,
paragraph 1 (a).
49. 47 These areas are
referred to in Article 4.1(e) of the Convention. In addition, in its
submission to the secretariat, a Party (Japan) noted that additional
guidance was required with regard to information on vulnerability and
adaptation measures to be included in national communications.
50. 111/
The term "transfer of technology", as used in this note, encompasses
practices and processes such as "soft" technologies, for example,
capacity building, information networks, training and research, as
well as "hard" technologies, for example, equipment to control,
reduce or prevent anthropogenic emissions of greenhouse gases in the
energy, transport, forestry, agriculture, and industry sectors, to
enhance removals by sinks, and to facilitate adaptation.
51. 48 This change is based
on the submission of a Party and COP decision 13/CP.1, which,
inter alia, urges other Parties to include in their
communications, where possible, information on measures taken for the
transfer of technology. It is proposed that Annex II Parties report
on the transfer of financial resources, and Annex I Parties on the
transfer of technology.
52. 1111/
Adaptation and the following mitigation sectors should be referenced,
where appropriate: energy supply, energy demand in the
residential/commercial/industrial sectors, transportation, forestry
and agriculture.
53. 49 These areas
represent a compilation of suggestions contained in the submissions
by two parties (Canada and the United States), as well as those areas
identified in document FCCC/SBI/1996/5.
54. 50 Tables 9 to 11 are
proposed in response to the request by the SBSTA, at its second
session, to develop, where feasible, standardized formats and tables.
In addition, in its submission to the secretariat, a Party (Japan)
noted the importance of clarifying what information on financial
support and transfer of technology ought to be included in
communications and of using tabular format for the provision of
information to enhance comparability. With regard to table 11, the
Party also noted that greenhouse gas reduction resulting from the
financial support should be estimated to the extent possible.
55. 51 This distinction was
suggested by a Party (the United States) in its submission.
56. 52 This text is
proposed to allow Parties to provide more detailed information on
individual projects and programmes, and to give Parties the
opportunity to provide specific information on private sector
activities as suggested by the SBI, which requested, at its second
session, that revisions to the guidelines on the transfer of
technology reflect the third option for reporting outlined in
document FCCC/SBI/1996/5.
57. 53 In its submission to
the secretariat, a Party (Uzbekistan) expressed the view that more
detailed information should be provided on the main results of
research.
58. 54 The secretariat's
proposal (FCCC/SBSTA/1996/3, para. 31) was supported by a Party
(Australia) in its submission.
59. 55 Although not always
presented in national communications, in-depth reviews concluded that
this information was of central importance.
60. 56 This outline is
based on similar outlines for the compilation and synthesis and for
in-depth review reports (see, for instance, decision 2/CP.1 of the
COP, annex III).
61. 57 If these assumption
are moved to table 8 as proposed, they may be deleted from this list
(see also paragraph 30 of this annex).
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