Guidelines for the preparation of the
fifth national communication under the
UNFCCC and the Kyoto Protocol
Katia Simeonova, Manager
UN Climate Change Secretariat
1
Mandate and overview
• Submission of the NC5 by 1 January 2010,
including information under Article 7,
paragraph 2, of the Kyoto Protocol
(decisions 10/CP.13 and 8/CMP.3)
• The UNFCCC reporting guidelines
(decision 4/CP.5)
• Reporting requirements under other decisions
• Reporting guidelines under Article 7, paragraph
2, of the Kyoto Protocol (decision 15/CMP.1)
• Main challenges for a complete and
transparent reporting
2
The UNFCCC reporting
guidelines
3
National Circumstances
• Parties shall provide a description of their national circumstances,
how national circumstances affect greenhouse gas (GHG) emissions
and removals, and how national circumstances and changes in
national circumstances affect greenhouse gas emissions and removals
over time
• Information that best describes the national circumstances and historic
trends, including disaggregated indicators
• To improve comparability, two sets of information are required
– Generic information: government structure, population, geographic, climate and
economic profiles
– Sector specific information together with examples of the key drivers: energy,
transportation, industry, waste, building stock and urban structure, agriculture,
forest and others
4
GHG Inventory
• Parties shall provide summary information on GHG inventory,
prepared according to the reporting guidelines on annual inventories
• Time period: from 1990 (or base year) to the last but one year prior to
the year of NC submission
• GHG inventory information in the NC5 should be consistent with the
submission of the annual inventory information in the year when the
NC is submitted, and any differences should be clearly explained
• A complete inventory data set is not required (already in the NIR)
• At a minimum, Parties shall provide the summary, including in
CO2 eq. and emission trend tables given in the CRF (in annex to the
NC5)
• In the main text of the NC: descriptive summary and diagrams of
GHGs
5
Policies and measures (1)
• In accordance with Article 12.2 Parties shall
provide a detailed description on PaMs adopted
under Article 4.2(a) and (b), and provide specific
estimates of their effects on GHG
• These PaMs need not have the limitation or
reduction of GHG emissions and removals as a
primary objective
6
Policies and measures (2)
• Which PaMs are to be reported in the NCs
– Parties should give priority to PaMs, which are:
• the most significant in terms of their impact on GHG mitigation;
• innovative and/or effectively replicable by other Parties;
• Implemented, adopted and planned.
– Reported PaMs should be:
• at national, state, provincial, regional and local levels;
• in the context of regional or international efforts;
• PAMs on international transport emissions to be reported in the transport
sector.
– Parties should report on policies and practices pursuant to Article
4.2 (e) (ii), i.e. those that lead to greater levels of GHG emissions
7
Policies and measures (3)
• Structure of the PaMs sections
– Description of PaMs by sector and by gas;
– list of sectors: energy, transport, industry, agriculture, forestry and waste
management, as well as cross-sectoral PaMs
– Reference to previous NC for PaMs maintained over time (continuity is
important)
– Possibility for a presentation of the aggregated effect of PaMs for several
complementary measures
• Policy making process
– Description of the overall policy context, national GHG targets, strategies for
sustainable development, inter-ministerial decision-making process/bodies
– description of the monitoring and evaluation of PaMs over time
8
Policies and measures (4)
• Policies and measures and their effect
– The presentation of information shall include
•
•
•
•
•
•
name and a short description of the PaMs
objectives of the PaMs
affected gases
type, or types of PaMs
status of implementation
implementing entity
– It should also include, as appropriate: a quantitative estimate of the
effects of individual PaMs, or collections of PaMs
– It may include information
• on the costs of PaMs
• on non-GHG mitigation benefit
• how the policy interacts with other PaMs
9
Policies and measures (5)
• Parties shall provide information on how they believe PaMs are
modifying longer term trends
• Policies and measures no longer in place
• Summary table of PaMs:
– Each sector shall have its own textual description, supplemented by table 1
– Link between reporting on PaMs and projections (and past GHG emission
trends), important to extend the table with new years: 2010, 2015 and 2020
Table 1. Summary of policies and measures by sector
Name of
policy or
measure
Objective
and/or
activity
affected
GHG
affected
Type of
instrumentc
Status Impleme
nting
entity or
entities
Estimate of mitigation
impact, by gas (for a
particular year, not
cumulative, in CO2
equivalents)
1995
2000
2005
10
Projections and the total PaMs effect(1)
• Purpose
– …to give an indication of future trends in GHG emissions and
removals, based on the implemented and adopted PaMs, and to
give an indication of the path of emissions and removals
without such PaMs…
• Scenarios
– Parties shall report at a minimum “with measures” (WM)
scenarios and may report “with additional measures” (WAM)
and “without measures” (WOM) scenarios
11
Projections and the total PaMs effect(2)
• Consistency between projections and inventory data
– WM and WAM starting point: last year of inventory data (i.e. 2007 for NC5)
– WOM starting point: 1995 or an earlier year such as 1990 or another base year
• Coverage
• Reporting by sector, consistent with sectors in the PaMs section (energy,
transport, industry, agriculture, forestry and waste management)
• All six gases, also precursors and SO2; by sector and totals using GWP
• Separate reporting on projections on international bunker fuel
• Timing: 2005, 2010, 2015 and 2020; estimates for 2030 strongly
encouraged; see sample diagram: fig.1
12
Emissions
Projections and the total PaMs effect(3)
Expected effects
implemented measures
Actual effects of
implemented measures
Without measures
Projections
Actual
emissions
With measures
Expected effects of
additional measures
1990
1995
2000
2005
2010
2015
With additional
measures
2020
Year
13
Projections and the total PaMs effect(4)
• Assessment of aggregated effect of PaMs, or
why a “without measures” scenario is important
– Effects of individual PaMs are to be reported in the PaMs section, total effects
are to be reported in the projections section
– Parties shall present the estimated and expected total effect of implemented and
adopted PaMs
– What types of estimates: ex-post (for 1995, 2000, 2005) and ex-ante (for 2010,
2015 and 2020; estimates for 2030 strongly encouraged)
– How to report (estimate) the total effect of PaMs
• Total effect as a difference between “with measures“ and “without
measures” scenario
• Total effects as an aggregation of individual effect of each significant policy
and measure
14
Projections and the total PaMs effect(5)
• Methodology
– Description of the model to allow the reader a basic understanding
of the approach, and its attributes:
•
•
•
•
Gases and sectors covered
Type of model, its original purpose and any modifications
Strengths and weaknesses of the model
Accounting for overlap and synergies between PaMs
– Key assumptions and differences in assumptions between the
current NC and the previous NC
– Sensitivity of projections to key assumptions (summary Table 2 of
the guidelines)
– Parties shall present relevant information on factors and activities
for each sector
15
Vulnerability assessment, climate
change impacts and adaptation
measures
NC shall include information on
the expected impacts of climate
change
NC shall include an outline on
the actions taken to implement
Article 4.1(b) and (e) with
regard to adaptation
–may include specific results of • may refer, inter alia, to integrated
scientific climate impact research plans for coastal zone management,
water resources and agriculture
–Parties are encouraged to use
IPCC,1994 and UNEP HB
Article 4.1(b) and (e): All Parties shall:
–Formulate, implement …programmes containing measures to
facilitate adaptation to climate change
–Cooperate in preparing for adaptation…
 V&A REPORTING includes 3 elements:
ASSESSMENTS – ACTION – [COOPERATION]
16
Financial resources and transfer of
technology (1)
• Annex II Parties shall provide details of measures taken to give
effect to their commitments under Article 4.3 (financial resources),
Article 4.4 (assistance in meeting costs of adaptation), and Article
4.5 (transfer of technologies)
• Annex II Parties shall complete tables on financial contributions
(related to the implementation of the Convention):
– Indicate the “new and additional”financial resources provided, including to the
Global Environment Facility (GEF) (table 3)
– To developing country Parties that are particularly vulnerable (table 5)
– To multilateral institutions and programmes (table 4)
– To bilateral and regional financial contributions (table 5, both on mitigation
(by sector) and adaptation (capacity building, coastal zone management, other
vulnerability assessments)
17
Financial resources and transfer of
technology (2)
• Annex II Parties shall provide information on technology transfer
and distinguish between the public and private sector activities
• Annex II Parties shall, where feasible, report activities related to
technology transfer, both in textual and tabular format
– Fact sheets on selected projects and programmes that promoted practicable
steps to facilitate and/or finance the transfer of, or access to, environmentallysound technologies (format table 6)
– Parties shall report activities related to technology transfer including on the
access to “hard” and “soft” technologies
– Parties shall report activities related to capacity building
18
Research and systematic observation (1)
•
Parties shall report in summary form on action relating to
research and systematic observation (not results from the
research)
–
–
•
Domestic and international activities (WCP, IGBP, GCOS and IPCC) and
support for capacity building
Information on GCOS, following a separate guidelines
General policy on and funding of research and
systematic observation; and opportunities and barriers
for data exchange
19
Research and systematic observation (2)
•
On research: information on highlights, innovations and
significant efforts made with regard to:
(a) Climate process and climate system studies, including
paleoclimate studies;
(b) Modelling and prediction, including general circulation
models;
(c) Research on the impacts of climate change;
(d) Socio-economic analysis, including analysis of both the
impacts of climate change and response options;
(e) Research and development on mitigation and adaptation
technologies
20
Research and systematic observation (3)
•
•
On systematic observation: summary information on status of
national plans, programmes and support for ground- and spacebased climate observing systems and on global climate observing
system (GCOS) activities in:
(a) Atmospheric climate observing systems, including those
measuring atmospheric constituents;
(b) Ocean climate observing systems;
(c) Terrestrial climate observing systems;
(d) Support for developing countries to establish and maintain
observing systems, and related data and monitoring systems
Detailed guidance provided in the UNFCCC reporting guidelines
on GCOS (contained in FCCC/CP/1997/7, pages 101-108)
21
Education, training and public awareness
•
•
•
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 (ETP)
Parties should report, inter alia, on
– General policy towards ETP
– Public information and education materials
– Resource or information centres
– Training programmes, and
– Participation in international activities
Parties may report on the extent of public participation in the
preparation or domestic review of the national communication
22
Reporting requirements under
other decisions
23
New Delhi Work Programme on Article 6
• Decision 11/CP.8: As part of their national programmes to implement
the Convention (…), Parties are encouraged to undertake activities
under the following categories
– International cooperation
– Education
– Training
– Public awareness
– Public participation and
– Public access to information
• All Parties are requested to prepare reports (within their NCs, where
possible) on their efforts to implement the work programme (for the
purpose of reviewing the programme in 2004 and 2007)
24
Capacity Building
• Decision 2/CP.10 “Capacity-building for developing countries (nonAnnex I Parties)” Parties are encouraged to further improve the
implementation of capacity-building activities (…), and to report on
the effectiveness and sustainability of capacity-building programmes
in their national communications and other relevant documents
• Decision 2/CP.7 “Capacity-building in developing countries (nonAnnex I Parties)” Parties are invited to provide information through
national communications and other reports to enable the SBI to
monitor progress in the implementation of this framework
• Decision 3/CP.7 “Capacity-building in countries with economies in
transition” Annex II Parties and Parties with economies in transition
are invited to provide information to enable the COP and the SBs to
monitor progress in the implementation of this framework, consistent
with guidelines for the preparation of national communications
25
Adaptation and response measures
• Decision 5/CP.7 “Implementation of Article 4, paragraph 8 and 9, of
the Convention (decision 3/CP.3 and Article 2, paragraph 3, and
Article 3, paragraph 14, of the Kyoto Protocol)” Annex II Parties are
requested to provide detailed information, in their national
communications and/or any other relevant reports, on their existing
and planned support programmes to meet the specific needs and
concerns of developing country Parties arising from the impact of the
implementation of response measures
• Decision 1/CP.10 “Buenos Aires programme of work on adaptation
and response measures” Annex II Parties are requested to provide
detailed information, including in their national communications, on
progress made on support programmes to meet the specific needs and
circumstances of developing country Parties arising from the adverse
effects of climate change; (…) and from the impact of the
implementation of response measures
26
Reporting guidelines under
Article 7, paragraph 2 of the
Kyoto Protocol
27
General approach
• Each Annex I Party shall include the necessary
supplementary information … to demonstrate
compliance with the commitments under the
Protocol in its NC submitted under Article 12 of the
Convention, within the timeframe under the Protocol
and in line with COP and CMP decisions
• Implications: reporting guidelines under the
Convention form a significant part of the reporting
guidelines under the Kyoto Protocol
28
National systems in accordance
with Article 5, paragraph 1
• Each Party .. shall provide description of how it is
performing the general and specific functions of the national
system under Article 5, paragraph 1, including
–
–
–
–
–
–
The name and contact details of the national entity
The roles and responsibilities of various agencies
A description of data collection, emission factors and methods
Description of the process for recalculation
QA/QC plan
Procedures for official consideration and approval of inventory
• Explanation on which functions are not performed (not fully
performed) and action to fix the problem
29
National registry
• Each Party .. shall provide description of how it is national registry
performs functions defines in the annexes to decisions 13/CMP.1 and
5/CMP.1, and conformity with DES:
–
–
–
–
–
–
–
–
–
The name and contact information of the registry administrator
The names of other Parties with which the Party co-operates on registries
How the national registry conforms with the DES
Procedures to minimize discrepancies and steps to terminate transactions where
discrepancy is notified and to correct the problem in case of failure to terminate
transaction
Overview of security measures
List of the information publicly accessible
The internet address of the interface to its national registry
Measures to safeguard, maintain and recover data in an event of disaster
The results of any test procedures
30
Supplementarity relating to
mechanisms under Article 6, 12 and 17
• Each Annex I Party shall provide information on
how its use of the mechanisms is supplemental to
domestic action, and how its domestic action thus
constitutes a significant element of the effort made
to meet its quantified limitation and reduction
commitments under Article 3, paragraph 1, in
accordance with the provisions of decision 5/CP.6
• Implications on compliance
31
Policies and measures
in accordance with Article 2
• Each Annex I Party shall specifically address PaMs implemented and/or further
elaborated as well as cooperation with other such Parties in achieving its quantified
emission limitation and reduction commitment under Article 3, in order to promote
sustainable development
• On aviation and marine bunker fuels, each Annex I Party shall, in pursuit of Article
2, paragraph 2, of the Protocol, identify the steps it has taken to promote and/or
implement any decisions by ICAO and IMO to limit or reduce associated emissions
• Each Annex I Party shall also provide information on how it strives to implement
policies and measures under Article 2 of the Kyoto Protocol in such a way as to
minimize adverse effects, including the adverse effects of climate change, effects on
international trade, and social, environmental and economic impacts on other
Parties, especially developing country Parties under Article 4, paragraphs 8 and 9, of
the Convention, taking into account Article 3 of the Convention
32
Domestic and regional programmes
and/or legislative arrangements and
enforcement and administrative
procedures
• Each Annex I Party shall report any relevant information on its domestic and
regional legislative arrangements and enforcement and administrative
procedures, established pursuant to the implementation of the Kyoto
Protocol, according to its national circumstances
– How they are implemented
– Information on these procedures being publicly available
– Institutional arrangements on Kyoto mechanisms
• Each Annex I Party shall provide a description of any national legislative
arrangements and administrative procedures that seek to ensure that the
implementation of activities under Article 3, paragraph 3, and any elected
activities under Article 3, paragraph 4, also contributes to the conservation
of biodiversity and sustainable use of natural resources
33
Information under Article 10
• Each Annex I Party shall report its activities, actions and
programmes undertaken in fulfillment of its commitments
under Article 10.
• Each Annex I Party shall report on the steps it has taken to
promote, facilitate and finance the transfer of technology to
developing countries and to build their capacity, taking into
account Article 4, paragraphs 3, 5 and 7, of the Convention
in order to facilitate the implementation of Article 10 of the
Kyoto Protocol.
34
Financial resources
• Each Annex II Party shall provide information on the implementation
of Article 11 of the Kyoto Protocol, in particular information on what
new and additional financial resources have been provided, in what
way these resources are new and additional, and how that Party has
taken into account the need for adequacy and predictability in the flow
of these resources.
• Each Annex II Party shall provide information on its contribution to
the entity or entities entrusted with the operation of the financial
mechanism.
• Any Annex I Party that has provided funding for the adaptation fund
established in accordance with decision 10/CP.7 shall report on its
financial contributions to this fund. In doing so, the Party shall take
into account the information reported in accordance with paragraph 6
of decision 10/CP.7.
35
Main challenges for a complete
and transparent reporting
36
National circumstances: findings
• All reporting Parties provided information on their national circumstances
and most of them, when explaining the relationship between national
circumstances and GHG emissions or removals, used demographic,
economic and energy-related indicators (e.g. population size, gross
domestic product (GDP), total primary energy supply (TPES)) that
significantly affect GHG emissions on their territories
• Government structure, geographic and climate profiles were generally
described in qualitative terms
• Sector-specific information on activities in transport, industry, waste,
agriculture and forestry was frequently included in the section on national
circumstances as well as under the section on policies and measures
• Information on building stock and urban structure was also provided by
some Parties, mostly in conjunction with the energy and transport sectors
• Relationships between national circumstances and emission trends were
usually described in qualitative terms, except for some cases such as
Canada’s quantitative assessment of the link between population and
emissions growth
• Parties also provided information on their governmental structure and
distribution of responsibilities for climate and climate-related policies.
37
National circumstances:
recommendations
• Need to enhance reporting on the effects of the main drivers relevant
to GHG emission trends (using e.g. structural analysis) a common
theme for the two topics
• Need to ensure concise, yet complete and transparent reporting on
the national circumstances as a basis for reporting in the subsequent
sections of the NC (compile list?)
• Comparable way of reporting on key parameters and drivers, such
as GDP, energy supply and demand; using IEA/OECD data and
categorization as an option (compile list?)
• Consistency in reporting on GHG trends in NCs, in annual NIRs
and CRF files; any differences in data to be explained; need for
more information and analysis on drivers for emission trends
38
Policies and measures: findings
• The reported policies and measures covered a wide range of
planned, adopted and/or implemented activities
• Many of policies were not introduced solely for climate change
objectives, yet are contributing to GHG mitigation
• Policies and measures were designed and implemented at all
levels of government regional, national, state/provincial and
municipal
• Quantitative estimates of the mitigation effects of policies and
measures are rarely reported in the NC4
• Even when they are reported, estimates are not necessarily
consistent among Parties, in terms of categorization, baseline
assumptions modelling procedures and methodological
approaches to account for policy synergies and interactions
39
Policies and measures: completeness
• Need for complete and comprehensive reporting on
– Some attributes of the PaMs, especially on the cost and mitigation effects
usually missing in the previous NC, on type of policy instrument
– Implementation status of PaMs, co-benefits, interaction with other policies and
continuity with PaMs reported in the NC3
– Kyoto mechanisms and issues related to the Marrakesh Accords, e.g. decision
22/CP.7 (supplementarity, sustainable development, ICAO/IMO, adverse
effects)
• Comprehensive reporting on PaMs (and effects) at the national level
and reporting on PaMs (and effects) at provinces/states level as
examples
• Need for consistency of information between the three related sections
in the NC: inventory, PaMs and projections (sectors, time-line)
40
Policies and measures:
Estimates of effect and cost
• Need for a robust reference (BAU) to estimate effects from individual
PaMs and collections of PaMs
• Quantitative estimates of effects for some sectors and gases could be
difficult (agriculture and fluorinated gases); also, estimates of shortterm effects from long-term measures (R&D on technology)
• Reconcile differences between the estimates of effects from individual
PaMs (PaMs section) and the total effect from PaMs (projections
section): different models or single model and modelling frameworks
• Estimates of cost and different cost concepts
41
Projections: findings
• 39 Parties reported GHG projections under the mandatory ‘with measures’
scenario, 22 Parties reported ‘with additional measures’ scenario and 16
Parties – ‘without measures’ scenario
• Most Parties (30 of 39) have projected their GHG emissions until 2020; one
Party – until 2025; 3 Parties – until 2030; and 5 Parties – until 2010 only
• For a number of Parties, projections at a sectoral levels are either not
available, or available for few sectors only (e.g. Iceland, the Russian
Federation, Spain, the United States)
• For 1990, these sectoral totals are also not fully consistent with the sectoral
data provided in the chapter on GHG trends, where emissions from all
Annex I Parties were included
• Only five Annex I Parties (the Czech Republic, Denmark, the Netherlands,
New Zealand and Switzerland) have reported projections of GHG emissions
from fuels sold for use in aviation and shipping
• Total effect from PaMs estimated only by 16 Parties which provided a
‘without
• measures’ scenario, through a comparison of ‘without measures’ and ‘with
measures’ scenarios.
42
Projections (1)
• Increased importance of projections, especially when the KP enters
into force
• Need for clear and transparent description of methods, assumptions,
explanations of key drivers and their impacts on projections results
• Need for more uniform reporting, while approaches and tools for
projections likely to remain non-uniform (template from the
projections workshop)
• Need for consistent definition of scenarios (2 or 3 scenarios), PaMs in
each scenario clearly defined
• Modelling of effects from PaMs increasingly complex, need to reflect
better new policy instruments, and the mix of ET and the existing
instruments
43
Projections (2)
• Institutional arrangement deemed important given the cross
disciplinary nature of the task
• Choice of methods and methodological approaches
– Approach that best fit national circumstances
– Integration of cross-country factors (neighbouring countries,
electricity import/export)
– Uncertainty assessment (sensitivity analysis and Monte Carlo
simulation techniques)
• Comparability in reporting: example of table for reporting
results from the projections workshop, dissemination of
methods by the UNFCCC
44
Projections (3)
• Energy, transport, industry and waste
– Key source analysis from GHG inventory to inform projections
– Modelling emission trading and project based mechanisms increasingly
important
– Emissions from transport shown separately (specialized models for transport
with simulation of different transport modes)
– Model spill-over effects of PaMs on non-Annex I Parties
• Agriculture and LULUCF
– Key source analysis: presentation on main drivers
– IPCC Good Practice Guidance: improve inventory and hence projections
– Recommendation for specialized models (focus on good
scientific practices)
– Appropriate emission factor that may not remain constant over time in future
– Timeframe for projections (10 years)
– Forestry projections well established; LULUCF projections challenging
45
Financial resources and
technology transfer
• Separation of mitigation and adaptation component from the overall
financial contribution remained challenging (lack of clear and uniform
criteria)
– Reporting on some additional categories for adaptation, such as water supply
and disaster preparedness
• Reporting on “new and additional” resources and the use of the
OECD/DAC “Rio Marker” system
• Use of information from existing data bases: UNCCD, UNCBD and
Ramsar Convention
• Reporting on technology transfer that occurs through private sector
channels remains a major issue: UNCTAD reports
46
Further information
• UNFCCC reporting guidelines: FCCC/CP/1999/7
• Kyoto Protocol reporting guidelines: FCCC/KP/CMP/2005/8/Add.2 – decision
15/CMP.1
• UNFCCC Compilation and synthesis reports: FCCC/SBI/2007/INF.6 and 7, and the
addenda
• Secretariat is preparing a WEB page on the preparation of the NC5
• Materials from the workshop held in Dublin on 30 September – 1 October 2004 are
available:
http://unfccc.int/meetings/workshops/other_meetings/items/2927.php
• Workshop report is contained in document: FCCC/SBI/2004/INF.10
http://unfccc.int/resource/docs/2004/sbi/inf14.pdf
• Further information on the OECD publication “Aid Activities Targeting the
Objectives of the Rio Conventions 1998-2000” can be found at:
http://www.oecd.org/document/6/0,2340,en_2649_37425_1944454_1_1_1_37425,0
0.html
47
•http://unfccc.int
48