Distr.
GENERAL
FCCC/SB/1999/1/Add.2
5 May 1999
Original: ENGLISH
SUBSIDIARY BODY FOR SCIENTIFIC AND TECHNOLOGICAL ADVICE
Tenth session
Bonn, 31 May - 11 June 1999
Item 4 (a) of the provisional agenda
SUBSIDIARY BODY FOR IMPLEMENTATION
Tenth session
Bonn, 31 May - 11 June 1999
Item 3 of the provisional agenda
IN ANNEX I TO THE CONVENTION
preparation of national communications by Parties included in Annex I to the
Convention (including part II of the reporting guidelines on other issues)
Paragraphs Page
I. INTRODUCTION 1 - 2 3
II. ELEMENTS FOR THE REVISION OF THE GUIDELINES 3 - 64 3
A. General issues 3 - 4 3
B. Specific issues 5 - 62 4
GE.99-
Paragraphs Page
C. Principles for the Chairman's draft text 63 - 64 10
I. Chairman's draft text of the guidelines for the preparation of national communications by Parties included in Annex I to
the Convention 12
II. Relevant decisions and conclusions of the Conference of the Parties and the Subsidiary Body for Scientific and Technological Advice related to reporting and to the guidelines for the preparation of national communications from Annex I Parties (excluding aspects related to greenhouse gas emission inventories) 37
1.A workshop was held at Bonn from 17 to 19 March 1999 on generic
issues related to the guidelines for the preparation of national
communications by Parties included in Annex I to the Convention,
referred to in this note as the UNFCCC guidelines (see
FCCC/SB/1999/1). The workshop was separated into two working groups,
one addressing guidance on greenhouse gas (GHG) inventories and the
other addressing guidance on other issues (policies and measures,
projections, financial resources and transfer of technology, and
other issues). The participants had before them a compilation of
views of Parties submitted in response to the secretariat
questionnaire on clarifications, additions and amendments to the
UNFCCC guidelines (FCCC/SB/1999/MISC.2).
2. Following the discussion in the working group on other issues,
participants requested the Chairman to provide a draft text of the
UNFCCC guidelines in relation to non-inventory issues, taking into
account the discussions of the workshop. This note includes elements
for the revision of these guidelines agreed to by the working group
participants. Annex I contains the Chairman's draft text of the
guidelines for the preparation of national communications by Parties
included in Annex I to the Convention, part II: other issues,
referred to in this note as the UNFCCC reporting guidelines on other
issues. Relevant decisions and conclusions of the Conference of the
Parties (COP) and the Subsidiary Body for Scientific and
Technological Advice (SBSTA) related to reporting and to the UNFCCC
reporting guidelines on non-inventory issues are contained in annex
II.
3. During the workshop there was a discussion on the purpose
of the UNFCCC guidelines and the extent to which revisions should be
considered for the preparation of the third national communications
by Annex I Parties and for the adoption of a decision at the fifth
session of the Conference of the Parties. The current purpose of the
guidelines was considered generally adequate, this being to provide
consistent, transparent, and comparable information to enable a
thorough review and assessment of the implementation of the
Convention by the Parties and to monitor the progress being made
towards meeting the goals of the Convention.
4. In this regard, simple revisions were considered a suitable
objective for COP 5. In particular, the need to improve the clarity
of the guidelines through changes to the structure, language and
definition of terms was noted. Participants also stressed that
revisions should aim to enhance the transparency and comparability of
reporting, and should follow an agreed structure that distinguishes
between mandatory and optional elements. Participants
emphasized that common definitions should be provided in the
guidelines, where appropriate, and that the guidelines should
encourage Parties to define any special terms they use to ensure that
there is no lack of clarity in the report. Concern was also
expressed as to the burden to Parties of requiring too much
information, and it was stressed that any revisions should take this
into account.
5. The workshop agreed that the revision of the guidelines should
take into account the issues discussed in paragraphs 6 to 62
below:
Policies and measures
6. The projections part of the guidelines should be merged with the
policies and measures section.
7. In reporting policies and measures implemented to meet the
commitments of Parties, the focus should be on those which are most
significant, and/or those which are innovative and/or could be most
effectively replicated, in terms of reducing emissions, and enhancing
sinks, of greenhouse gases. Policies which were reported in earlier
communications and continue to be successful could be reported in
different ways from new policies which have been implemented since
the previous national communication was submitted. Participants noted
that policies and measures could be ranked.
8. Reasons should be given as to why certain policies mentioned in
earlier national communications were discontinued.
9. Policies and measures could be collated according to common
"bundles" or "portfolios", taking into account reporting requirements
on cross-sectoral policies and measures. The chosen term would need
to be defined in order to have uniform reporting.
10. Reporting by sector is preferable to reporting by gas, because a
policy in one sector could affect more than one gas.
11. The effectiveness of policies and measures could be described in
terms of the activity data and/or emission factors affected, for
example, the number of landfills with gas collection, number of
livestock, car numbers. Where possible, a link could be made to
actual emissions if existing policies have already resulted in a
change in emission trends. Furthermore, Parties are strongly
encouraged to report quantitative indicators of their policies and
measures; this could encompass other benefits (i.e. non-GHG
mitigation benefits) of policies and measures.
12. Information should be provided on the methodologies used to
estimate the 'effectiveness' of policies or the indicators
reported.
13. Tables could provide a useful complement to text in the national
communications.
14. Tables should include both optional and mandatory elements.
15. Common definitions of terms should, where appropriate, be
provided in the guidelines.
16. Information on implemented policies and measures coordinated with
other Parties should be reported along the same lines as other
measures.
17. It should not be mandatory to report on the 'costs' of policies
and measures.
18. Information should be provided on the implementation status of
policies reported.
19. An explanation of the policy or measure in the context of the
national circumstances of the Party should be provided, describing
the policy-making process in the country or organization, including
information on the division of competence between different levels of
government.
20. 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. Parties should also
provide the rationale for such actions in the context of their
national circumstances.
21. The revised summary table for reporting on policies and measures
is reproduced in annex I below.
Projections
22. The existing guidelines constitute a good basis for reporting
under the Convention. Their revision should seek to enhance
transparency and comparability. Clear definitions of the terms used
should be included.
23. Projections are prepared for both domestic use and to support the
international process.
24. In the preparation of the projections, the uncertainties
associated with identifying all relevant policies and measures and
estimating their effect on emissions need to be recognized.
25. The primary objective of the projection exercise is to give an
indication of emission trends, given implemented policies and
measures. To this end a "with implemented policies and measures"
scenario should be presented. This scenario should be designed to
encompass, to the extent possible, all implemented measures and those
firmly committed to, but not yet implemented, at the time the
projection is made.
26. In addition, Parties are encouraged to provide a "with additional
policies and measures" scenario. This scenario should include all
measures under consideration, but not firmly committed to.
27. To estimate the total (not cumulative) effect in a particular
year of policies and measures which were implemented since the last
national communication, and since 1990 if feasible, a "without
policies and measures" scenario(s) or other approach should be
used.
28. Effects of individual policies and measures with a significant
impact on emissions, or portfolios of policies and measures, should
be assessed, bearing in mind the associated difficulties.
29. When projecting emissions, Parties may use any method(s) and/or
approach(es), provided sufficient information is given to ensure
transparency. For each method used, information should be provided on
its characteristics (top-down model, bottom-up model, accounting
model, expert judgement, etc.), the original purpose the model was
designed for and how it has been modified for climate change
purposes, strengths and weaknesses of the approach, scientific
credibility, and references, including, for example, Internet
addresses.
30. To enhance transparency and to ensure comparable reporting, the
reporting should follow an agreed structure, which includes all
mandatory elements.
31. Projections should be made for the emissions and removals of the
following greenhouse gases on a gas-by-gas basis: carbon dioxide
(CO2), methane (CH4), nitrous oxide
(N2O), perfluorocarbons (PFCs), hydrofluorocarbons (HFCs)
and sulphur hexafluoride (SF6). Parties are encouraged to
provide projections of the indirect greenhouse gases carbon monoxide
(CO), nitrogen oxides (NOx) and non-methane volatile
organic compounds (NMVOCs), as well as sulphur oxides.
32. Parties should provide projections on a sectoral basis, and to
the extent possible for the same sectors shown in the inventories. In
addition, projections should be provided in an aggregated format
using agreed global warming potential (GWP) values.
33. Parties should include projections on a quantitative basis for
the years 2005, 2010 and 2015 and to the extent possible for the year
2020 [at least to the year 2020].
34. Projections of emissions based upon fuel sold to ships and
aircraft engaged in international transport should not be included in
the national totals, but reported separately.
35. Projections of emissions and removals in land-use change and
forestry should not be included in the national totals, but reported
separately.
36. The guidelines should contain a list of key assumptions,
including emission factors, used for the projections of all gases.
Country-specific assumptions should also be provided. To ensure
transparency, key assumptions should be presented together with their
historical values.
37. Parties should provide information on other intermediate results
and key outputs of the models and/or approaches used, such as
projected energy balances, for the period of the projection. To
ensure transparency, key outputs should be presented together with
their historical values.
38. The starting point of the projection should be consistent with
the latest reported inventory data in the national communication.
Differences between the inventory and projections, such as exclusion
of some sectors or statistical differences, should be explained.
39. If adjustments, for example for variations in temperature or
electricity trade, are used in the projection analysis, both adjusted
and unadjusted data should be reported with clear links to the
inventory data and explanation of the methods used.
40. Levels of uncertainty associated with the projections and the
underlying assumptions should be discussed qualitatively, and, where
possible, quantitatively. [To assess the sensitivity of the
future emission trends to variations in the key assumptions, Parties
are encouraged to provide results of sensitivity analysis and/or a
range of scenarios.]
41. Parties are encouraged to have a peer review of their projections
made by independent national experts.
42. Parties should include a discussion of differences between
projections in previous national communications in terms of
assumptions, methods employed, and results.
Financial resources and transfer of technology
43. The participants recognized the difficulty of defining "new and
additional" financial resources. Parties should clarify in their
national communications how "new and additional" financial resources
are determined.
44. The participants also recognized the difficulty of isolating, in
the contributions of Parties to multilateral institutions, the
portions for implementation of the Convention.(1)
No common understanding has been reached on possible solutions.
Revised table 1 needs to be discussed further.
45. Regarding information on bilateral cooperation, revised table 2
was recommended.
46. Regarding transfer of technology:
(a) Parties are encouraged to provide information on practicable steps taken by governments to promote, facilitate and finance transfer of technology, and to support the development and enhancement of endogenous capacities and technologies of developing countries. This should be reported in textual format;
(b) Parties should report on some significant success stories related to technology transfer, using revised table 3;
(c) Parties may consider improvements to the definition of "hard" and "soft" technology as described decision 9/CP.2, annex, footnote d(2) (FCCC/CP/1996/15/Add.1). Views were expressed that there is no need to make such a distinction.
47. Parties shall, when reporting activities related to the promotion, facilitation and financing of the transfer of, or access to, environmentally sound technologies, clearly distinguish between activities undertaken by the public sector and by the private sector. As the ability of Parties to collect information on private sector activities is limited, Parties should indicate, where feasible, in what way activities by the private sector help meet the commitments of Parties under Article 4.3, 4.4 and 4.5 of the Convention.
48. Revised tables are reproduced in annex I below.
Vulnerability assessment, climate change impacts and adaptation measures
49. The current guidelines on this topic are considered adequate.
Research and systematic observation
50. The draft submission by the Global Climate Observing System (GCOS) secretariat on reporting guidelines for systematic observation, prepared in response to decision 14/CP.4
(FCCC/CP/1998/16/Add.1), serves as a good basis for discussion to assist in improving reporting. There is a need to improve and enhance reporting requirements.
51. This draft submission by GCOS, due for discussion at the World Meterorological Organization (WMO) Congress in May 1999, and after consideration at the SBSTA, could serve as a basis for a separate reference document, without being included in the reporting guidelines.
52. Efforts for developing the capacity of developing countries with regard to observation systems should be reported.
53. Paragraphs 45, 46 and 47 of the current guidelines should be modified to integrate decision 14/CP.4.
54. The following proposal by the GCOS secretariat for the modification of the existing guidelines on research and systematic observation is included for consideration:
(a) Paragraph 45 remains as it stands, with the removal of subparagraph (d);
(b) Paragraph 46 and 47 remain;
(c) These remaining paragraphs then deal solely with research (including that of a socio-economic nature);
(d) Insert a new set of paragraphs that deal specifically with systematic observation along the lines described in the following paragraph.
55. With respect to systematic observation and related data and monitoring systems, Parties should provide in their communications information on the current status of national plans in these areas and their support for:
(a) Atmospheric observing systems, including those measuring atmospheric constituents;
(b) Ocean observing systems;
(c) Terrestrial observing systems, including those dealing with land-surface properties, ice masses and fresh water resources; and
(d) Developing countries to establish and maintain observing systems and related data and monitoring systems.
56. In preparing their communications on systematic observations and related data and monitoring systems, Parties should be guided by the requirements and best practices in documentation prepared by the Global Climate Observing System and other relevant bodies, in collaboration with SBSTA and the Intergovenmental Panel on Climate Change (IPCC), for the purposes of the Convention.
57. Parties need to recognize that responsibilities for systematic observation and related data and monitoring systems are often carried out by a diverse number of national institutions and programmes, some of which may have separate intergovernmental reporting mechanisms. In assessing their respective contributions to observational and data systems in support of the Convention, Parties need to ensure close coordination amongst the various responsible agencies and institutions during this process.
Education, training and public awareness
58. The current guidelines on this issue are considered adequate.
National circumstances
59. The current guidelines on this issue are considered adequate.
60. Parties could repeat unchanged basic data in subsequent national communications, but new developments in national circumstances should be the main focus.
Purpose of the guidelines
61. The current guidelines on the subject are considered adequate.
62. In addition, the guidelines should serve the purpose of providing consistent, transparent and comparable information to enable a thorough review and assessment of the implementation of the Convention by the Parties, and to monitor the progress they are making towards meeting the goals of the Convention.
63. In closing the March 1999 workshop on generic issues related to clarifications, additions and amendments to the UNFCCC guidelines, it was decided that the Chairman would prepare a draft text of the UNFCCC reporting guidelines on non-inventory issues for Parties to consider. In preparing the draft text the Chairman proposed to take into account points agreed during the workshop and the submissions by Parties in response to the secretariat's questionnaire.
64. The Chairman prepared the draft text according to the following principles, that were emphasized both by workshop participants and in submissions from Parties:
(a) The objective is a simple revision to improve the clarity, structure and language of the guidelines;
(b) The text has been re-drafted to take into account the points raised in the submissions and by workshop participants, but also to make the wording clearer and remove ambiguities;
(c) The text has been restructured to encourage comparable reporting, in format as well as content. There is a clear indication of mandatory and optional elements, with mandatory elements in the text referred to as elements a Party "shall" report;
(d) An outline of the structure for national communications has been included as an annex to the text of the guidelines to facilitate comparability of the communications. The outline will be adjusted as necessary to reflect any changes to the text of the guidelines decided by Parties;
(e) Text has been bracketed in instances where the Chairman felt there was no consensus.
NATIONAL COMMUNICATIONS BY PARTIES INCLUDED IN ANNEX I TO THE
1. The guidelines for the preparation of communications by Parties included in Annex I to the Convention (Annex I Parties) have three principal purposes:
(a) To assist Annex I Parties in meeting their commitments under Articles 4 and 12 of the Convention;
(b) To promote the provision of consistent, transparent, comparable, accurate and complete information in order to enable a thorough review and assessment of the implementation of the Convention by the Parties, and to monitor the progress they are making towards meeting the goals of the Convention; and
(c) To ensure that the Conference of the Parties 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).
2. For the purposes of these guidelines, the term "shall" is reserved for mandatory elements that a Party must report in a way that is consistent, transparent, comparable, accurate and complete. Any other terms such as "encouraged" and "may" indicate optional elements that Parties may report.
3. In the context of these guidelines:
Implemented policy or measure means .......
Transparency means .......
Consistency means .......
Comparability means .......
(more terms to be specified)
4. In accordance with Articles 4.1(j) and 12.1 (a) and (b), a communication shall describe the full range of actions by Annex I Parties to implement all of their Convention obligations. In accordance with Article 12.3, Annex II Parties shall also report on finance and technology transfer measures to implement Article 4.3, 4.4 and 4.5.
5. In accordance with Articles 4 and 12, a communication shall describe all anthropogenic emissions and removals of all greenhouse gases (GHGs) not controlled by the Montreal Protocol. These include the direct greenhouse gases carbon dioxide (CO2), methane (CH4), nitrous oxide (N2O), hydrofluorocarbons (HFCs), perfluorocarbons (PFCs) and sulphur hexafluoride (SF6), and the indirect greenhouse gases carbon monoxide (CO), nitrogen oxides (NOx) and non-methane volatile organic compounds (NMVOCs). Parties are also encouraged to provide information on sulphur oxides. Other greenhouse gases with significant global warming potentials (GWPs) that are identified should be included in the communications.
6. To facilitate transparency, comparability, and consistency of national communications, Parties shall structure their report according to the outline in the annex. To ensure completeness, no mandatory element shall be excluded. If mandatory elements cannot be fully reported for any reason, Parties shall explain the omission or the reason for partial reporting in the section relating to that element.
7. The information identified in these guidelines shall be communicated by a Party to the Conference of the Parties in a single document. Parties are encouraged to provide additional relevant background information, preferably in a working language of the secretariat, or in an official United Nations language, to the secretariat.
8. National communications shall be submitted in one of the official languages of the United Nations. Parties shall provide electronic versions of the mandatory tables in the communications in the format required. Parties shall also provide electronic versions of their entire communication.
9. Annex I Parties are also encouraged to submit, where relevant, a translation of their communication into English.
10. The length of a communication may 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.
11. A communication shall include an executive summary that summarizes the mandatory information and data from the full document. In view of the limits on translation, the executive summary shall be of no more than 15 pages.
12. This section should provide the context for the information presented in the national communication about a Party's implementation of the Convention. It should assist the reader in understanding observed trends in greenhouse gas emissions, the choice of different policies and measures and future emission trends. Information should be provided for a sufficient time period to allow the reader to understand its relevance to information given elsewhere in the national communication. Parties may explain the link between their national circumstances and observed emission trends, their policies and measures and other aspects of information in the national communication, in the relevant sections.
13. Information [shall] be provided for each of the subject headings listed below. Parties may provide whatever information best describes their own national circumstances for each of the subject headings. However, to improve the comparability of information in national communications, for each subject heading, relevant information and time periods are suggested. If such information has been provided in earlier national communications, this can simply be noted in the latest national communication where this simplifies reporting.
(a) Population profile: Total population, population density and dispersal. Total greenhouse gas emissions per capita (CO2, CH4, N2O, HFCs, PFCs, SF6), measured on a CO2 equivalent basis. (Provide data for 1990 to latest available year.);
(b) Geographic profile: Total land area in km2, latitude of most southerly and northerly points, continent. Proportion of land devoted to agriculture, forest (indicating the proportion of managed to unmanaged), dwellings, etc. (Provide data for the most recent year available.);
(c) Climatic profile: Average winter and summer temperature and precipitation in the region or regions of highest population density such as the capital. Average number of heating and/or cooling degree days. (Statistics may be based on an average of recent years.);
(d) Government structure: A description of the government structure, including the number of underlying bodies at regional levels such as state, county or municipality level, and their role in determining policy and/or implementing policies and measures, in general;
(e) Economic profile: Gross domestic product (GDP) and GDP per capita expressed in local currency, in nominal and real terms. GDP can be expressed, additionally, on a purchasing power parity basis. GDP by sector such as agriculture, industry, services. (Provide data for 1990 to the latest available year.) A description of major economic changes or shifts between sectors such as a significant decline or growth in manufacturing activity and the main reasons behind such changes. A description of state support to different economic activities such as energy production and agriculture and any significant changes over time to such support. (Statistics on subsidies may also be provided and may be based on own definitions or Organisation for Economic Co-operation and Development (OECD) definitions of producer subsidy equivalent, etc.) For different sectors additional information may be provided which may assist in explaining emission trends such as livestock numbers or numbers of landfills since 1990;
(f) Energy profile: Energy balance in terms of primary energy supply and primary energy consumption by fuel, in million tonnes of oil equivalent (Mtoe). Final energy consumption by sector, for example, industry, households, transport, in Mtoe. Electricity generating capacity by source, for example oil, gas, hydro, renewables, coal, in MW. Electricity generation by source, in TWh. Imports and exports of electricity in TWh. Energy intensity measured as total primary energy supply per unit of GDP. Total primary energy supply per capita. The real delivered price of energy and electricity to different consumer groups such as large, medium and small industrial consumers and households. (Provide data for 1990 to the most recent year available.) A description of the market structure and any major changes since 1990, such as market liberalization. This may also cover a description of the infrastructure such as degree of coverage of the national gas distribution network. Domestic energy reserves, including economically recoverable coal, oil and gas reserves and the economic potential for renewable energy. Opportunities or barriers for fuel switching for different sectors or groups of consumers;
(g) Transport: Fleet numbers of cars and heavy goods vehicles. Passenger and freight kilometres by rail, road, sea and air. (The statistics may make a distinction between passenger-kilometres travelled by public and private transportation.) Average number of passenger cars per 100 of population. (Provide data for 1990 to the most recent year available.) A description of the road and rail infrastructure [A description of state support to different forms of transportation and any significant trends];
(h) Housing stock: Dwelling numbers by type, for example, detached houses, flats. Average dwelling size. Occupancy rate. (Data for the most recent year available.) Commentary on age of housing stock and on extent of new housing being built, if significant;
(i) [Monitoring of greenhouse gas mitigation: A description of the way in which progress with policies and measures to mitigate greenhouse gas emissions is monitored and evaluated. Parties may include information about indicators which assist in this process. Such indicators may relate to aggregate statistics or detailed sectoral analysis.] n.b. This element is also covered in the policies and measures section;
(j) Other circumstances: Parties may wish to describe circumstances not covered by the above which explain emissions trends and/or the success or failure of particular policies and measures.
14. Where statistics are provided, these should be accompanied by a definition of terms unless they are obvious. These may be included in footnotes or as an annex to the communication.
15. Parties requesting flexibility or consideration, in accordance with Article 4.6 and 4.10 of the Convention, shall state the type of special consideration they are seeking and provide an adequate explanation of their circumstances.
16. Summary information from the national greenhouse gas emissions inventory shall be provided for the period from 1990 (or other base year) to the last but one year prior to the year of submission of the national communication (e.g. inventory information up to the year 1999 shall be provided in the third national communication to be submitted by 30 November 2001). The information provided in the communication should be consistent with that provided in the annual inventory information submission of the year in which the communication is submitted.
17. The GHG inventory information provided shall be calculated and reported in accordance with the UNFCCC guidelines for the preparation of national communications by Parties included in Annex I to the Convention, part I: inventories. For the purpose of the communication, complete inventory information need not be provided. However, at a minimum, Parties shall report the summary, including CO2 equivalent, and emissions trend tables given in the common reporting format contained in the above-mentioned guidelines. These tables may be provided as an annex to the communication rather than in the main text.
18. Article 12.2 requires Annex I Parties to communicate information on policies and measures adopted to implement commitments under Article 4.2(a) and (b). These need not have the limitation of greenhouse gas emissions as a primary objective.
19. The national communication does not have to report every policy and measure which affects greenhouse gas emissions. In reporting, Parties may give priority to policies which have the most significant impact in limiting or reducing greenhouse gas emissions and may also indicate which are innovative and/or potentially replicable for other Parties.
20. Parties shall report information on their policies and measures in the text of their national communication, supplemented by information in a tabular format.
21. Parties shall organize the reporting of policies and measures by [sector] [gas]. For each [sector] [gas], reporting should be further subdivided by [gas] [sector]. To the extent possible, these sectors should reflect the sectors employed to report inventory information.
22. In cases where a policy or measure has been maintained over time and is thoroughly described in the Party's previous national communication, reference may be made to this and only a brief description contained in the latest national communication, focusing on any alterations to the policy or effects achieved. When policies listed in previous national communications are no longer in place, Parties may explain why this is so.
23. Some information, such as the effect of policies and measures, may be presented in aggregate for several complementary measures in a particular sector or affecting a particular gas.
24. Policies reported on could be those decided and implemented by governments at national and local level. Furthermore, policies reported could also include those adopted in the context of regional or international efforts.
25. The overall policy context. This should describe national targets for greenhouse gas mitigation, in addition to Convention commitments. [Strategies for sustainable development or transport and energy sector policy objectives may also be covered.] Relevant inter-ministerial decision-making processes or bodies should be noted.
26. The following information shall be included in the description of each policy and measure reported:
(a) The objective of the policy or measure. Objectives should state what policies and measures are for. They are not forecasts or descriptions of activity but are rather criteria for judging success. They should focus on the key purposes and benefits of the policies and measures. Objectives should be quantifiable where possible;
(b) The sector or sectors in which the policy is implemented. To the extent possible, sectors should correspond to those used to report inventory information;
(c) The activity data, emission factor and/or behaviour affected which, in turn, affects greenhouse gas emissions;
(d) The greenhouse gas or gases affected;
(e) How the policy or measure interacts with other policies and measures at the national level. This may include a description as to how policies complement each other in order to enhance overall greenhouse gas mitigation;
(f) Type of policy or measure [(See paragraph 3 above for a definition of relevant terms)];
(g) Level of government and private sector involvement. This should cover whether a central or local government decision is required to instigate the policy, whether funds are provided from state or local budgets and who is the implementing authority. It should also cover whether the policy is targeted at the organization, firm or household level etc. and, where possible, note the scale of private sector involvement in terms of funding etc;
(h) Status of implementation. It should be noted whether the policy or measure is in the planning stage, is under legislative consideration or whether a legislative decision (or decision by another relevant body) has been taken. For policies having been decided by the relevant authority, the stage of implementation they are at should be noted. Information may include the funds already provided, future budget allocated and the planned time-frame for the implementation of the policy or measure;
(i) Greenhouse gas mitigation monitoring and results. This should cover a description of the way in which progress with policies and measures to mitigate greenhouse gas emissions is monitored and evaluated over time. Institutional arrangements for monitoring of greenhouse gas mitigation policy may also be reported in this context. Parties may also provide information about indicators which assist in the process of monitoring and evaluation. Such indicators may relate to aggregate statistics or detailed sectoral analysis. Parties may provide the results of monitoring activities, including values of indicators, if used, over time.
27. The following information may be included in the description of each policy and measure reported:
(a) A quantitative estimate of the impacts of individual policies and measures or collections of policies and measures. The estimate may be of historic impacts and/or of future impacts. This may be in terms of the underlying activity or emissions affected, compared to the likely level of activity or emissions for the relevant sector in the absence of such policies. This information should be presented as an estimate for a particular year such as 1995, 2000 and 2005, not for a period of years. Parties are also encouraged to provide a brief description of how such savings are estimated. This information may be provided for both implemented policies and measures and policies and measures under consideration, but the distinction between the two should be clear;
(b) Information about the costs of policies and measures. Such information should be accompanied by a brief definition of the term 'cost' in this context.
28. Parties [may] [shall] report policies and measures which encourage activities leading to greater levels of greenhouse gas emissions than otherwise, identified in accordance with
Article 4.2(e) of the Convention. This might include subsidies to fossil fuel production and consumption or livestock rearing. In addition, policies relating to security of fuel supply may be of relevance in this context.
29. Parties shall complete the summary table (table 1) for policies and measures described in the national communication. Some aggregation of complementary policies and measures may be employed where this simplifies reporting.
Sectora Name of policy/
measureb Type of
instrumentc Objective by
gasd Status of
implementatione Implementing
authorityf Estimate of
mitigation impactg (for a particular
year, not cumulative) 1995 2000 2005 2010 2020 1.
Agriculture 2.
Transport etc.
a The sectors should, to the extent possible, be the same sectoral categories as in GHG inventory reporting.
b Parties should use an asterisk (*) to indicate that a measure is included in the "with implemented policies and measures" projection.
c To the extent possible the following terms should be used: economic, fiscal, voluntary, regulatory, information, education and other.
d The gas(es) concerned and activity data, emission factor and/or behavior affected should be indicated.
e To the extent possible the following descriptive terms should be used: under consideration, decided (year), implemented (year),
funding allocated (years, amount), funding planned (years, amount), expected end date (year).
f Central, state, county, municipality, etc.
g This information should be included to the extent feasible.
30. The primary objective of the projections is to give an indication of future emission trends, given current national circumstances, including implemented policies and measures. To this end a "with implemented measures" scenario shall be presented. This scenario shall be designed to encompass, to the extent possible, all implemented policies and measures at the time the projection is made.
31. Parties shall provide an additional calculation assessing the total effect of all new policies and measures implemented since submission of their last national communication and in addition, where possible, a calculation assessing the total effect of all policies and measures implemented since 1990. This information should be clearly separated from the elements referred to in paragraph 30 above. Parties may use either a "without measures" scenario or another approach.
32. Parties are encouraged to provide an estimate of the total effects of those policies and measures which are under consideration. This information should be clearly separated from the mandatory elements referred to in paragraphs 30 and 31 above. Parties may use either a "with additional measures" scenario or another approach.
33. Projections shall be made on a gas-by-gas basis for emissions and removals of the following greenhouse gases: CO2, CH4, N2O, PFCs, HFCs and SF6. Parties are encouraged to provide projections of the indirect greenhouse gases CO, NOx and NMVOCs, as well as sulphur oxides.
34. In view of the objective of the Convention and the intent to modify longer-term trends in emissions and removals, Parties shall include projections on a quantitative basis for the years 2000, 2005 and 2010, 2015, and [to the extent possible] 2020.
35. The starting point of the projections shall be consistent with the inventory data in the national communication. Differences between the inventory and projections, such as exclusion of some sectors or statistical differences, shall be explained. If Parties carry out any adjustments to activity data or projected emissions for the starting point of their projections, for example, for climate variations or trade patterns in electricity, both adjusted and unadjusted data shall be reported with a clear link to the inventory data and explanation of the methods used. For the "with implemented measures" and the optional "with additional measures" scenarios, the starting point shall be the latest year for which inventory data are available in the national communication. The starting point for the optional "without measures" scenario should be the last national communication and, where possible, 1990.
36. Parties shall provide projections on a sectoral basis, to the extent possible using the same sectoral categories as in their GHG inventory reporting. Parties shall summarize the results of the projections by gas and, to the extent possible, by sector, using the emission trends table used for inventory reporting. In addition, projections shall be provided in an aggregated format, using GWP values agreed upon by the Conference of the Parties.
37. To ensure consistency with inventory reporting, projections of emissions based upon fuel sold to ships and aircraft engaged in international transport shall not be included in national totals but reported separately. Similarly, projections of emissions from the land-use change and forestry sector shall not be included in projections of national totals but reported separately.
38. When projecting greenhouse gas emissions and removals, and estimating the specific and total effect of policies and measures on emissions and removals, Parties may use any model(s) and/or approach(es), provided sufficient information is given to allow a third party to obtain a qualitative understanding of the model(s) and/or approach(es) used.
39. In the interests of transparency, for each model or approach used, Parties shall:
(a) Describe the type of model or approach used, its characteristics (for example, top-down model, bottom-up model, accounting model, expert judgement);
(b) Describe the original purpose for which the model was designed and, if applicable, how it has been modified for climate change purposes;
(c) Summarize the strengths and weaknesses of the model or approach used and provide an indication of its scientific and technical credibility;
(d) Explain how the model or approach used accounts for any overlap or synergies that may exist between different policies and measures;
(e) Provide references or Internet addresses for more detailed information on the model or approach.
40. To ensure transparency, national communications shall report the key assumptions and variables used to develop projection(s) of greenhouse gas emissions and removals and estimate(s) of the total effects of policies and measures on emissions and removals. Parties shall summarize historic and assumed values of key variables by completing table 2 below, identifying which assumptions were used for the different scenarios provided.
Table 2. Summary of key variables and assumptions in the projections analysis
|
Historica |
Assumed |
|||||||||
|
|
1980 |
1985 |
1990 |
1995 |
2000 |
2005 |
2010 |
2015 |
2020 |
|
|
Variable 1 (e.g. world coal prices - real/nominal |
||||||||||
|
Variable 2 (e.g. world oil prices (US$/bbl)) |
||||||||||
|
... |
||||||||||
a Information should be provided for at least the period 1990 onwards.
41. An illustrative list of key variables and assumptions that may be required to project greenhouse gas emissions and removals or to estimate the specific effects of policies and measures and their costs may include the following:
(a) GDP level (national currency) and annual growth rate (consistent with economic forecasts of the Party);
(b) Assumptions on exchange rates between the domestic currency and the
United States dollar;
(c) Population level (millions) and compound annual growth rate;
(d) Interest rate and public sector discount rate, where available;
(e) Annual rate of autonomous energy efficiency improvement in total and by sector;
(f) Total housing, including turnover (number of dwellings);
(g) Commercial floor space, including turnover (thousands of square kilometres);
(h) Vehicle-kilometres travelled by vehicle type (thousands);
(i) 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);
(j) Rate of penetration and absolute levels of use of new end-use technologies;
(k) World fuel prices;
(l) Relative costs of different electricity-generating plants;
(m) Head of livestock (thousands by species);
(n) Nitrogen fertilizer and manure use (tonnes of nitrogen).
42. Parties shall provide information on key outputs of the model(s) and/or approach(es) used, such as projected energy balances, for the period of the projection. The historic and current activity data, and projected values for key outputs shall be summarized by completing table 3.
Table 3. Summary of activity data and other outputs of the projections analysis
|
Activity dataa |
Projection |
|||||||||
|
|
1980 |
1985 |
1990 |
1995 |
2000 |
2005 |
2010 |
2015 |
2020 |
|
|
Variable 1 (e.g. primary energy demand (PJ)) |
||||||||||
|
Variable 2 (e.g. index of industrial production (1990=100)) |
||||||||||
|
... |
||||||||||
a Information should be provided for at least the period 1990 onwards.
43. An illustrative list of other key outputs that may be produced when projecting greenhouse gas emissions and removals or estimating the specific effects of policies and measures may include the following:
(a) Primary energy production by fuel type (petajoules);
(b) Primary energy demand by fuel type, as well as electricity (petajoules);
(c) Energy demand by sector (petajoules);
(d) Final energy consumption by end-use (petajoules);
(e) Energy imports/exports (petajoules);
(f) Primary energy per unit of production in the industrial and commercial sectors;
(g) Energy consumption per square metre in the residential and commercial sectors;
(h) Primary energy for transport (per tonne-km or passenger-km);
(i) Electricity and heat produced per unit of fuel used in thermal power stations;
(j) Rice cultivation (area cultivated in hectares);
(k) Forest area cleared (thousands of hectares);
(l) Landfill waste disposal (tonnes);
(m) Waste-water biochemical oxygen demand (kg).
44. Parties shall report the main differences in the assumptions, methods employed, and results between projections in the current national communication and those in earlier national communications.
45. The level of uncertainty associated with the projections and underlying assumptions shall be discussed qualitatively and, where possible, quantitatively. In addition, Parties are encouraged to provide the results of sensitivity analyses and/or a range of scenarios, to illustrate the sensitivity of the future emissions trends to variations in key assumptions.
46. Parties are encouraged to have their projections peer-reviewed by independent national experts.
47. Parties are encouraged to share with others their experience with the preparation of projections and to make all relevant information available to other Parties.
ADAPTATION MEASURES
48. A communication shall 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. Parties could refer, inter alia, to integrated plans for coastal zone management, water resources and agriculture. Parties are also encouraged to report on specific results of scientific research in the field of vulnerability assessment and adaptation.
49. In accordance with Article 12.3, Annex II Parties shall provide detailed information on the activities undertaken to give effect to their commitments under Article 4.3, 4.4, and 4.5, as follows.
50. Parties shall indicate what "new and additional" financial resources have been provided, to meet the agreed full costs incurred by developing country Parties, in complying with their obligations under Article 12.1. Parties shall clarify how they have determined such resources as being "new and additional" in their national communications.
51. Parties shall provide information on the provision of financial resources to meet the agreed full incremental costs incurred by developing countries in their implementation of measures covered under Article 4.1 of the Convention. When communicating this information Parties shall complete tables 4 and 5 below.
52. Parties shall provide detailed information on the assistance provided for the purpose of assisting developing country Parties that are particularly vulnerable to the adverse effects of climate change in meeting the costs of adaptation to those adverse effects, in textual format and with reference to table 5 below.
53. Parties shall, when reporting activities related to the promotion, facilitation and financing of the transfer of, or access to, environmentally sound technologies, clearly distinguish between activities undertaken by the public sector and by the private sector. As the ability of Parties to collect information on private sector activities is limited, Parties may indicate, where feasible, in what way activities by the private sector help meet the commitments of Parties under Article 4.3, 4.4 and 4.5 of the Convention.
54. Parties shall report on some significant success stories related to technology transfer, using table 6 below. Parties shall also report their activities for financing access by developing countries to "hard" or "soft" environmentally sound technologies.(3)
55. Parties are encouraged to report, in textual format, information on practicable steps taken by governments to promote, facilitate and finance transfer of technology, and to support development and enhancement of endogenous capacities and technologies of developing countries.
Table 4. Financial contributions to the Global Environment Facility (GEF) and other multilateral institutions and programmes(4)
(millions of US
dollars) 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 - specific
programmes 8. United Nations
Environment Programme - specific
programmes 9.
UNFCCC - supplementary
fund 10.
Other Multilateral
scientific, technology and training programmes 1. 2. 3. 4. 5.
* If available
Table 5. Bilateral/regional financial contributions related to the implementation of the Convention, 1998(6)
Mitigation Adaptation country/ region Energy Transport Forest Agriculture Waste management Industry 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. All
other
Table 6. Description of selected projects or programmes that promoted practicable steps to facilitate and/or finance the transfer of, or access to, environmentally sound technologies
|
Project / programme title: |
|||
|
Purpose: |
|||
|
Recipient country |
Sector |
Total funding |
Years in operation |
|
Description: |
|||
|
Indicate factors which led to project's success: |
|||
|
Technology
transferred: |
|||
|
Impact on
greenhouse gas emissions/sinks
(optional): |
|||
56. Pursuant to Articles 4.1(g), 5 and 12.1(b), Annex I Parties shall communicate information on their actions relating to research and systematic observation. This shall include, inter alia, information on:
(a) Research on the impacts of climate change;
(b) Modelling and prediction, including general circulation models;
(c) Climate process and climate system studies;
(d) Socio-economic analysis, including analysis of both the impacts of climate change and response options; and
(e) Technology research and development.
57. The communications could address both domestic programmes and international programmes (for example, the World Climate Programme (WCP), the International Geosphere-Biosphere Programme (IGBP), the Global Climate Observing System (GCOS)), and the IPCC. They shall also reflect actions taken to support related capacity-building in developing countries.
58. The communications shall be limited to reporting on actions undertaken rather than the results of such efforts. For example, the results of research studies or model runs shall not be included in this section.
59. With respect to systematic observation and related data and monitoring systems, Parties shall provide information on the current status of national plans and support in the following areas:
(a) Atmospheric observing systems, including those measuring atmospheric constituents;
(b) Ocean observing systems;
(c) Terrestrial observing systems, including those dealing with land-surface properties, ice masses and freshwater resources; and
(d) Support for developing countries to establish and maintain observing systems and related data and monitoring systems.
60. In preparing their communications on systematic observation and related data and monitoring systems, Parties may be guided by the requirements and best practices in documentation prepared by the Global Climate Observing System.
61. In accordance with Articles 4.1(i), 6 and 12.1(b), Annex I Parties shall communicate information on their actions relating to education, training and public awareness. In this section, Parties shall report inter alia, on public information and education materials, resource or information centres, training programmes, and participation in international activities. Parties are encouraged to report the extent of public participation in the preparation or domestic review of the national communication.
62. Relevant future decisions, once taken by the Conference of the Parties, regarding the reporting of information under the Convention should be applied mutatis mutandis to these UNFCCC reporting guidelines on non-inventory issues, which shall be updated accordingly by the COP.
1. The national communication shall be structured according to the outline given below. The outline is based on the mandatory elements of the guidelines. Optional elements and any other information Parties wish to provide should be included within this framework as appropriate.
Summary of all mandatory information and data (no more than 15 pages)
2.1 Population profile
2.2 Geographic profile
2.3 Climatic profile
2.4 Government structure
2.5 Economic profile
2.6 Energy profile
2.7 Transport
2.8 Housing stock
2.9 Monitoring of greenhouse gas mitigation
2.10 Other circumstances
Summary of greenhouse gas inventory results. The required summary and trend tables of the common reporting format may be included in an annex rather than in the main text of this chapter.
4.1 Policies and measures
4.1.1 Descriptive summary of policies and measures
This section should also contain table 1 describing policies and measures that have been implemented since 1990, that are significant, innovative and/or potentially replicable.
4.1.2 Description of each policy and measure
This section should contain a detailed description of each significant, innovative or potentially replicable policy and measure that the Party has implemented, including:
(a) Objective(s): gas(es) and/or sector(s) targeted;
(b) Why it is considered significant, innovative, or potentially replicable;
(c) Type of policy instrument(s) used;
(d) Interaction with other policies and measures;
(e) Status of implementation or commitment;
(f) How the policy and measure is functioning;
(g) Indicators of progress.
4.1.3 Policies and practices that lead to greater levels of emissions
4.2 Projections
4.2.1 Projection results
"With implemented measures" gas-by-gas projections of emissions and removals of the following greenhouse gases: CO2, CH4, N2O, PFCs, HFCs and SF6, for the years 2000, 2005, 2010, 2015, [2020]:
(a) Summary of projections
for all gases, sectors, and scenarios including aggregated projections using GWPs;
(b) Gas-by-gas projections;
(c) Sectoral projections;
(d) Projections of bunker fuels;
(e) Projections of net emissions from land-use change and forestry;
(f) Explanation of differences between projection and inventory (if applicable). Should include both adjusted and unadjusted data with a clear link to the inventory data and explanation of the methods used.
4.2.2 Estimate of total effect of policies and measures
Estimate of the total gas-by-gas effect of policies and measures for emissions and removals of the following greenhouse gases: CO2, CH4, N2O, PFCs, HFCs and SF6. This information, if presented as a "without measures" scenario, could be included in section 4.2.1 (projection results).
4.2.3 Method reports
One method report should be provided for each method or approach used.
(a) Description of the type of model or approach used
(i) Characteristics
Characteristics of the model (for example, top-down model, bottom-up model, accounting model, expert judgement);
(ii) Original purpose
The original purpose of the model and, if applicable, how modified for climate change purposes;
(iii) Strengths and weaknesses
Strengths and weaknesses, indication of scientific and technical credibility;
(iv) Overlap or synergies
How it accounts for overlap or synergies between different policies and measures;
(v) References
References or Internet addresses for more detailed information;
(b) Assumptions
Table 2 summary of historic and assumed values of key variables used in this method/approach;
(c) Activity data and key outputs
Table 3 summary of historic and current activity data, and projected values for key outputs;
(d) Uncertainty
Qualitative and, where possible, quantitative discussion of uncertainty.
4.2.4 Differences compared to earlier national communications
Differences in the assumptions, methods employed, and results compared to earlier national communications.
ADAPTATION MEASURES
5.1 Expected impacts of climate change
5.2 Adaptation actions taken
6.1 Provision of "new and additional" resources
Textual how "new and additional" was determined
6.2 Provision of financial resources
Textual information on the provision of financial resources
6.3 Assistance to developing country Parties that are particularly vulnerable to climate change
Textual description of assistance to developing country Parties that are particularly vulnerable to climate change
6.4 Activities related to transfer of technology
Textual description of activities related to transfer of technology
6.5 Tables
Table 4, table 5, table 6
7.1 Actions related to research and systematic observation
7.1.1 Research on the impacts of climate change
7.1.2 Modelling and prediction, including general circulation models
7.1.3 Climate process and climate system studies
7.1.4 Socio-economic analysis, including analysis of both the impacts of climate change and response options
7.1.5 Technology research and development
7.2 National plans and support related to systematic observation
7.2.1 Atmospheric observing systems
7.2.2 Ocean observing systems
7.2.3 Terrestrial observing systems
7.2.4 Support for developing countries
8.1 Public information and education materials
8.2 Resource or information centres
8.3 Training programmes
8.4 Participation in international activities
PARTIES AND THE SUBSIDIARY BODY FOR SCIENTIFIC AND
TECHNOLOGICAL ADVICE RELATED TO REPORTING AND TO THE
GUIDELINES FOR THE PREPARATION OF NATIONAL COMMUNICATIONS
FROM ANNEX I PARTIES (EXCLUDING ASPECTS RELATED TO GREENHOUSE
GAS EMISSION INVENTORIES)
1. This annex cites the relevant decisions and conclusions from reports of the Conference of the Parties and the Subsidiary Body for Scientific and Technological Advice adopted subsequent to decision 9/CP.2 related to reporting and the guidelines, excluding aspects related to greenhouse gas emission inventories. Some of the decisions and conclusions are of a general manner and some give precise instruction as to reporting. Procedural decisions and conclusions are not included. The decisions and conclusions are listed in chronological order.
Report of the Subsidiary Body for Scientific and Technological Advice on its seventh session (FCCC/SBSTA/1997/14)
2. The Subsidiary Body for Scientific and Technological Advice took note of the need for better information with respect to finance and transfer of technology and agreed to consider at its ninth session what, if any, additions and/or amendments to the revised guidelines for the preparation of national communications by Annex II Parties would be required. It invited Parties to submit to the secretariat by 15 March 1998 their views on providing information on finance and transfer of technology and requested the secretariat to compile them for consideration at its eighth session. It also urged the secretariat to explore other means of obtaining such information, including the in-depth reviews of national communications.
Report of the Conference of the Parties on its third session (FCCC/CP/1997/7/Add.1)
3. Decision 6/CP.3 (Communications from Parties included in Annex I to the Convention):
The Conference of the Parties decided that executive summaries of national communications will be published in their original language as official UNFCCC documents, and also translated into the other official languages of the United Nations if they are less than 15 pages long in standard format.
4. Decision 9/CP.3 (Development and transfer of technologies):
The Conference of the Parties urged Parties to improve reporting in national communications on technology needs and technology transfer activities, as indicated in the reporting guidelines adopted by the Parties.
Report of the Subsidiary Body for Scientific and Technological Advice on its eighth session (FCCC/SBSTA/1998/6)
5. The Subsidiary Body for Scientific and Technological Advice noted that the following measures cited by Parties could be considered as possible means of promoting common efforts towards the implementation of Article 6 (education, training and public awareness):
(a) Increasing the availability of public information and education materials, including the reports of the IPCC, in all the official languages of the United Nations, as well as in other languages;
(b) Promoting the exchange of copyright-free materials, the facilitation of training and the sharing of experience, for example, through a resource centre;
(c) Establishing training activities in developing countries through CC:TRAIN and other appropriate programmes;
(d) Facilitating the exchange or secondment of personnel to train experts in the field of climate change;
(e) Assisting developing countries in procuring financial resources for their implementation of Article 6 and;
(f) Ensuring the availability of information about all aspects of the Convention and the Kyoto Protocol, including information on the mechanisms defined in the Kyoto Protocol and other provisions for achieving its objective, using CC:INFO and other appropriate mechanisms.
6. The Subsidiary Body for Scientific and Technological Advice urged Parties to implement Article 6 at the national level and to pursue international cooperation to strengthen public awareness, education, and outreach programmes. It called for Parties to present fully their activities on Article 6 when submitting their national communications.
7. The Subsidiary Body for Scientific and Technological Advice invited Parties to submit to the secretariat, by 14 December 1998, their views on possible means of promoting the implementation of Article 6, for compilation into a miscellaneous document. The SBSTA invited the secretariat to put forward proposals on how to integrate Article 6 into the work programme of the SBSTA, taking into account the above submissions from Parties, for consideration at its tenth session. In this context, the SBSTA also requested the secretariat to explore the development of more rigorous reporting guidelines on Article 6 for national communications, and to present these to the SBSTA for its consideration.
Report of the Conference of the Parties on its fourth session (FCCC/CP/1998/16/Add.1)
8. Decision 4/CP.4 (Development and transfer of technologies):
The Conference of the Parties requested all Parties to enhance reporting in their national communications of technology cooperation and transfer activities and invited Parties not included in Annex I to the Convention (non-Annex I Parties) to include, where possible, their technology needs.
The Conference of the Parties urged Annex II Parties to provide, as appropriate, for reference by developing country Parties, a list of environmentally sound technologies and know-how related to adaptation to and mitigation of climate change that are publicly owned, and to report in their national communications steps taken to implement Article 4.5 of the Convention.
9. Decision 5/CP.4 (Implementation of Article 4.8 and 4.9 of the Convention
(decision 3/CP.3 and Articles 2.3 and 3.14 of the Kyoto Protocol)):
The Conference of the Parties requested the Subsidiary Body for Scientific and Technological Advice to take into account information needs arising from the basic elements mentioned in paragraph 1 of the decision, as well as the programme of work set out in the annex to the decision, in revising the guidelines for the preparation of national communications by Annex I Parties and non-Annex I Parties (see text of decision 5/CP.4 for basic elements and annex).
10. Decision 11/CP.4 (National communications from Parties included in Annex I to the
Convention):
The Conference of the Parties concluded, with respect to the reporting of information in national communications from Annex I Parties, that further efforts are required to improve adherence to the relevant guidelines so as to ensure greater completeness, consistency and comparability of the data and information, including on the implementation of Article 4.3, 4.4 and 4.5 of the Convention.
The Conference of the Parties concluded, with respect to the reporting of information in national communications from Parties included in Annex II to the Convention (Annex II Parties), that those Parties are fulfilling their Article 12.3 commitments by reporting on their commitments regarding the transfer of technology and the provision of financial resources, as described in the second compilation and synthesis, but that most of them do not follow the tabular format requested by the revised guidelines annexed to decision 9/CP.2. In this regard, every effort should be made by Annex II Parties to use the tabular format.
The Conference of the Parties invited the Subsidiary Body for Scientific and Technological Advice to consider the means by which the reporting requirements under the guidelines for the preparation of national communications by Annex I Parties in relation to the transfer of technology and the provision of financial resources might better identify and reflect the range of actions being taken by Annex II Parties. In this context, additional guidance should be provided by the SBI with respect to information needs and reporting on technology transfer and financial assistance.
11. Decision 14/CP.4 (Research and systematic observation):
The Conference of the Parties requested Parties to submit information on national plans and programmes in relation to their participation in global observing systems for climate, in the context of reporting on research and systematic observation, as an element of national communications from Parties included in Annex I to the Convention (Annex I Parties) and, as appropriate, from Parties not included in Annex I to the Convention (non-Annex I Parties).
1. The secretariat, in cooperation with the Global Environment Facility (GEF) secretariat, could identify what proportion of GEF funding is used in relation to climate change. Also, the secretariat is cooperating with the Development Assistance Committee of the Organisation for Economic Co-operation and Development (OECD/DAC), in order to obtain data from the OECD/DAC reporting system that could indicate the relevance of official development assistance to the objective of the UNFCCC and the other Rio conventions.
2. The secretariat was requested to elaborate the existing definition of "hard and soft" technology for discussion at the tenth sessions of the subsidiary bodies.
3. The term "transfer of technology", as used here, 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. [The secretariat was requested to elaborate the existing definition of "hard and soft" technology for discussion at the tenth sessions of the subsidiary bodies.]
4. In filling out this table, Parties may wish to refer to contributions related to the implementation of the Convention.
5. Parties may indicate their overall contribution to the GEF and/or other multilateral institutions over a
6. Parties may also wish to indicate separately their contribution to developing country Parties to enable the latter to comply with their obligations
under Article 12.1