preparation of the eu biennial report and eu 6th national...

Preparation of the EU Biennial Report and EU 6th National Communication

under the UNFCCC

28 February 2013

Öko-Institut e.V.

Büro Berlin Schicklerstr. 5-7 D-10179 Berlin Tel.: +49-(0)30-405085-0 Fax: +49-(0)30-405085-388 Geschäftsstelle Freiburg Postfach 1771 D-79017 Freiburg i.Br. Tel.: +49-(0)761-45295-0 Fax: +49-(0)761-45295-88 Büro Darmstadt Rheinstraße 95 D-64295 Darmstadt Tel.: +49-(0)6151-8191-0 Fax: +49-(0)6151-8191-33

www.oeko.de

Authors:

Anke Herold (Öko-Institut)

Dr. Hannah Förster (Öko-Institut)

Sabine Gores (Öko-Institut)

Verena Graichen (Öko-Institut)

Wolfram Jörß (Öko-Institut)

Dr. Katja Schumacher (Öko-Institut)

Gonçalo Cavalheiro (CAOS)

Inês Mourão (CAOS)

Dr. Elisabeth Rigler (Umweltbundesamt)

Bernd Gugele (Umweltbundesamt)

Elisabeth Kampel (Umweltbundesamt)

Nicole Mandl (Umweltbundesamt)

Sabine McCallum (Umweltbundesamt)

Andrea Prutsch (Umweltbundesamt)

Best practice report

(Annex II to the 1st Interim Report)

Service Contract No 071201/2012/634210/SER/CLIMA.A3

4

The views expressed in this study represent only the views of the authors and not those of DG

CLIMA or any other organization.

5

Contents

1 Introduction .................................................................................................................................. 16

2 National Circumstances Relevant To Greenhouse Gases (chapter 3 in EU NC5) ................ 17

2.1 Legal requirements .............................................................................................................. 17

2.1.1 UNFCCC Guidelines on Reporting and Review ..................................................... 17

2.1.2 UNFCCC reporting Guidelines for Annex I biennial reports and CTF for biennial

reports ..................................................................................................................... 18

2.1.3 UNFCCC reporting guidelines under Article 7 of the Kyoto protocol ...................... 18

2.2 Analysis of Other Documents .............................................................................................. 18

2.2.1 Analysis of the UNFCCC 2011a: Synthesis and Compilation Report under

UNFCCC ................................................................................................................. 18

2.2.2 Analysis of the UNFCCC 2011b: Synthesis and Compilation Report under the

Kyoto Protocol ......................................................................................................... 18

2.2.3 Analysis of the UNFCCC review of the EU’s Fifth National Communication .......... 19

2.2.4 Annotated Outline for Fifth National Communications of Annex I Parties under

the UNFCCC, including Reporting Elements under the Kyoto Protocol ................. 19

2.2.5 Analysis of Parties’ National Communications ....................................................... 20

2.3 Best practice Implications for the EU 6th national communication and 1

st biennial report ... 21

2.3.1 Proposed annotated outline of the National Circumstances Chapter of the 6th

National Communication ......................................................................................... 21

2.3.2 Content of proposed graphs and tables of the National Circumstances Chapter

of the 6th National Communication .......................................................................... 22

3 Greenhouse Gas Inventory Information (chapter 4 in EU NC5) .............................................. 24




reports ..................................................................................................................... 25




UNFCCC ................................................................................................................. 27


Kyoto Protocol ......................................................................................................... 27







3.3.1 Proposed annotated outline of the GHG Inventory Information Chapter of the 6th


3.3.2 Content of proposed graphs and tables of the GHG Inventory Information

Chapter of the 6th National Communication ............................................................ 29

6

4 Policies and Measures (PaMs): Policy Making Process, Additional Info required under

Art. 7(2) KP & Cross-Cutting PaMs (chapters 5.1-5.3 in EU NC5) ........................................... 30




reports ..................................................................................................................... 33


4.1.4 Regulation of the European Parliament and of the Council on a mechanism for

monitoring and reporting greenhouse gas emissions and for reporting other

information at national and Union level relevant to climate change (concerning

ETS, FlexMechs, supplementarity) ......................................................................... 36



UNFCCC ................................................................................................................. 36


Kyoto Protocol ......................................................................................................... 37







4.3.1 Proposed annotated outline of the Projections Chapter of the 6th National

Communication ....................................................................................................... 44

4.3.2 Content of proposed graphs and tables of the Projections Chapter of the 6th


5 Sectoral Policies and Measures: Energy, Transport, Industry, Agriculture, Forestry,

Waste (chapters 5.4-5.9 in EU NC5) ........................................................................................... 51

5.1 All sectors ............................................................................................................................ 51



reports ..................................................................................................................... 51


5.2 Energy .................................................................................................................................. 53


UNFCCC ................................................................................................................. 53


5.3 Transport .............................................................................................................................. 55




UNFCCC ................................................................................................................. 55


5.4 Industry/Industrial processes and product use .................................................................... 59

5.5 Agriculture ............................................................................................................................ 59

7

5.6 Forestry ................................................................................................................................ 59

5.7 Waste ................................................................................................................................... 60




5.8.1 Proposed annotated outline of the Sectoral PaMs Chapter of the 6th National

Communication ....................................................................................................... 62

5.8.2 Content of proposed graphs and tables of the Sectoral PaMs Chapter of the 6th


6 Projections and the total Effects of Policies and Measures (chapter 6 in EU NC5) .............. 64




reports ..................................................................................................................... 67


6.1.4 Draft Regulation of the European Parliament and of the Council on a

mechanism for monitoring and reporting greenhouse gas emissions and for

reporting other information at national and Union level relevant to climate

change (MMR) ........................................................................................................ 67

6.1.5 Summary of legal requirements and results of analysis ......................................... 69

6.2 Analysis of Documents ........................................................................................................ 74


UNFCCC, FCCC/SBI/2011/INF.1, Source: (UNFCCC 2011a) ............................... 74


Kyoto Protocol ......................................................................................................... 75




6.2.5 Analysis of Parties’ National Communications with respect to projections ............ 77

6.3 Best practice Implications for the EU 6th national communication and 1st biennial report . 80


Communication ....................................................................................................... 81



7 Vulnerability Assessment, Climate Change Impacts And Adaptation Measures (chapters

7.1-7.3 in EU NC5) ........................................................................................................................ 87




reports ..................................................................................................................... 87



7.2.1 Analysis of the UNFCCC 2011a: Compilation and synthesis report under

UNFCCC, 2011 ....................................................................................................... 88

8


Kyoto Protocol ......................................................................................................... 88




7.2.5 Other documents with relevance for climate change impacts, vulnerability and

adaptation ............................................................................................................... 90




7.3.1 Proposed annotated outline of the Vulnerability Assessment, Climate Change

Impacts and Adaptation Measures Chapter of the 6th National Communication .... 96

7.3.2 Content of proposed graphs and tables of the Vulnerability Assessment, Climate

Change Impacts and Adaptation Measures Chapter of the 6th National

Communication ....................................................................................................... 98

8 Financial Resources And Transfer Of Technology (including EU International Co-

operation on Climate Change Impacts and Adaptation) (chapters 8 and 7.4 in EU NC5) .... 99

8.1 Legal requirements – Financial resources, technology transfer, vulnerability, adaptation

and other issues relating to the implementation of the Convention by Parties included in

Annex I to the Convention – including EU International Cooperation on Climate Change

Impacts and Adaptation ....................................................................................................... 99



reports – Financial resources, technology transfer, vulnerability, adaptation and

other issues relating to the implementation of the Convention by Parties

included in Annex I to the Convention – including EU International Cooperation

on Climate Change Impacts and Adaptation .......................................................... 99

8.1.3 UNFCCC reporting guidelines under Article 7 of the Kyoto protocol – Financial

resources, technology transfer, vulnerability, adaptation and other issues

relating to the implementation of the Convention by Parties included in Annex I

to the Convention – including EU International Cooperation on Climate Change

Impacts and Adaptation ........................................................................................ 100

8.2 Analysis of Other Documents ............................................................................................ 101


UNFCCC ............................................................................................................... 101


Kyoto Protocol - Financial resources, technology transfer, vulnerability,

adaptation and other issues relating to the implementation of the Convention by

Parties included in Annex I to the Convention – including EU International

Cooperation on Climate Change Impacts and Adaptation ................................... 105

8.2.3 Analysis of the UNFCCC review of the EU’s Fifth National Communication –

Financial resources, technology transfer, vulnerability, adaptation and other

issues relating to the implementation of the Convention by Parties included in

Annex I to the Convention – including EU International Cooperation on Climate

Change Impacts and Adaptation .......................................................................... 105

9


the UNFCCC, including Reporting Elements under the Kyoto Protocol ............... 107

8.2.5 Analysis of Parties’ National Communications ..................................................... 108

8.3 Best practice Implications for the EU 6th national communication and 1st biennial report 109

8.3.1 Proposed annotated outline of the Chapter on Financial Resources and Transfer

of Technology of the 6th National Communication ................................................ 110

9 Research And Systematic Observation (chapter 9 in EU NC5) ............................................. 113

9.1 Legal requirements ............................................................................................................ 113

9.1.1 UNFCCC Guidelines on Reporting and Review ................................................... 113


reports ................................................................................................................... 114

9.1.3 UNFCCC reporting guidelines under Article 7 of the Kyoto protocol .................... 114



UNFCCC ............................................................................................................... 115


Kyoto Protocol ....................................................................................................... 116

9.2.3 Analysis of the UNFCCC review of the EU’s Fifth National Communication ........ 117





st biennial report . 125

9.3.1 Proposed annotated outline of the RSO of the 6th National Communication........ 125


National Communication ....................................................................................... 126

10 Education, Training and Public Awareness (chapter 10 in EU NC5) .................................... 127

10.1 Legal requirements ............................................................................................................ 127

10.1.1 UNFCCC Guidelines on Reporting and Review ................................................... 127


reports ................................................................................................................... 128

10.1.3 UNFCCC reporting guidelines under Article 7 of the Kyoto protocol .................... 128



UNFCCC ............................................................................................................... 128

10.2.2 Addendum - Financial resources, technology transfer, vulnerability, adaptation

and other issues relating to the implementation of the Convention by Parties

included in Annex I to the Convention .................................................................. 128

10.2.3 Analysis of the UNFCCC review of the EU’s Fifth National Communication ........ 129





st biennial report . 130

10


Communication ..................................................................................................... 130

11 References .................................................................................................................................. 131

11

List of figures

Figure 4.1 Institutional arrangements concerning climate policy and its implementation ........ 41

Figure 4.2 EU-ETS by sector ................................................................................................... 42

Figure 4.3 Emissions in and outside the trading scheme ........................................................ 43

Figure 4.4 Best-practice example of presentation of the use of flexible mechanisms ............. 44

Figure 6-1 Best-practice example of presentation of projections ............................................. 78

Figure 6-2 Best-practice example of presentation of aggregate effects of policies and

measures ................................................................................................................ 79

Figure 6-3 Best-practice example of documentation of key assumptions & parameters an

MS level .................................................................................................................. 80

Figure 6-4 Example figure for presenting GHG projections relative to 1990 ........................... 85

Figure 6-5 Example table to represent projection data ............................................................ 86

List of tables

Table 4.1 Issues from EU NC5 review concerning policies and measures ............................ 38

Table 4.2 Summary of policies and measure by sectora ........................................................ 40

Table 4.3 Planned use of Kyoto Mechanisms by Member States .......................................... 49

Table 4.4 Supplementarity: Use of flexible mechanisms 2008-2012 (preliminary results) .... 50

Table 4.5 Summary of cross-sectoral policies and measures ................................................ 50

Table 5.1 Summary of policies and measures per sector ....................................................... 63

Table 6-1 Minimum requirements based on “shall” requirements by guidelines from above

for projection chapter of the 6th National Communication ....................................... 69

Table 6-2 “Should” requirements by guidelines from above for projection chapter of the 6th


Table 6-3 “May” requirements by guidelines from above for projection chapter of the 6th


Table 6-4 Results of the in-depth review if the Fifth National Communication of the

European Union ...................................................................................................... 75

Table 8-1 Recommendations from the in-depth review of the NC5 ...................................... 105

Table 9-1 Recommendations from the in-depth review of the NC5 ...................................... 117

13

List of abbreviations

AAU Assigned Amount Unit

Art Article

BR Biennial report

BR1 1st Biennial report

CB Capacity building

CCC Climate Change Committee (under the Monitoring Mechanism Decision)

CCS Carbon Capture and storage

CDM Clean Development Mechanism

CER Certified Emission Reduction

CIF Climate Investment Funds

CITL Community Independent Transaction Log

CION European Commission

CO Carbon monoxide

CO2 Carbon dioxide

CO2eq Carbon dioxide equivalents

COP Conference of Parties

CP Commitment Period

CRF Common Reporting Format

CTF Common Tabular Format

DCs Developing countries

DG Directorate General

DG CLIMA Directorate General on Climate Action

DRR Disaster Risk Management

EEA European Environment Agency

EIT Economy in transition

ERT Expert Review Team

ERU Emission Reduction Unit

ESD Effort Sharing Decision

ETC/ACM European Topic Centre on Air Pollution and Climate Change Mitigation

ETS Emission trading system

EU ETS The European Union’s emission trading system

EU European Union

EUR Euro

EU15 Austria, Belgium, Denmark, Finland, France, Germany, Greece, Ireland, Italy,

Luxembourg, Netherlands, Portugal, Spain, Sweden and United Kingdom

EU27 EU15 plus Bulgaria, Cyprus, Czech Republic, Estonia, Hungary, Latvia, Lithua-

nia, Malta, Poland, Romania, Slovakia and Slovenia,

14

EU28 EU27 plus Croatia

FlexMechs Flexible Mechanisms under the Kyoto Protocol

FP Framework Programme

FSF Fast Start Financing

GCOS Global Climate Observing System

GEF Global Environment Facility

GHG Greenhouse Gases

GIS Geographical Information Systems

HFCs Hydrofluorocarbons

IDR In Depth Review

IET International Emissions Trading

IPCC Intergovernmental panel on climate change

JI Joint Implementation

JRC Joint Research Center

KP Kyoto Protocol

lCER Long-term Certified Emission Reduction

LDCF Least Developed Countries Fund

LDCs Least developed countries

LULUCF Land use, land use Change and Forestry

MMD Monitoring Mechanism Decision

MMR Monitoring Mechanism Regulation

MS EU Member State

Mt Megatonnes

NC National Communication

NC4 4th National Communication



NEC National Emissions Ceiling

NER New Entrant Reserve

NIR National Inventory Report

NMVOC Non-methane volatile organic compounds

NOx Nitrogen oxides

N2O Nitrous Oxide

ODA Official Development Assistance

PaMs Policies and measures

PFCs Perfluorocarbons

RMU Removal Unit

RSO Research and Systematic Observation

15

SBI Subsidiary Body for Implementation

SBSTA Subsidiary Body for Scientific and Technological Advice

SCCF Special Climate Change Fund

SDS Sustainable Development Strategy

SF6 Sulphur Hexafluoride

SO2 Sulphur Dioxide

tCER Temporary Certified Emission Reduction

TT Technology transfer

UNFCCC United Nations framework convention on climate change

USD United States of America Dollars

VE Verified emissions

WAM With additional measures scenario

WEM With existing measures scenario

WG I Working Group I under the CCC

WG II Working Group II under the CCC

WOM Without measures scenario

16

1 Introduction

The term best practices is used in this report to describe the implementation of the le-

gal reporting guidelines in a way that fully complies with the existing legal requirements

and in addition is considered as a good example for the provision of consistent, trans-

parent, comparable, accurate and complete information that provides the reader of the

information with a thorough understanding of the issues described. In the best practice

examples ways of reporting are presented that at the same time are sufficiently de-

tailed for a transparent description and concise in terms of the length of the report.

The best practice analysis is done for each chapter of the National Communication

(following the structure of the EU NC5). In the beginning, legal requirements are

summed up for each chapter, followed by an analysis of different documents which

elaborated on good practice examples and on the differences how the reporting re-

quirements have been considered across parties. The project team also considered

recommendations from the In-depth Review of the EU 5th National Communication and

reviewed other Parties’ 5th National Communications to identify best reporting practices

that could be useful for the preparation of the EU’s 6th National Communication and

EU’s 1st Biennial Report (NC6/BR1).

Using the above mentioned materials, a set of best reporting practices for each sector

has been derived and shall serve as a base for the EU’s NC6/BR1. This might also be

used as guidance to Member States for the preparation of their respective national

NC6/BR1 reports.

17

2 National Circumstances Relevant To Greenhouse Gases

(chapter 3 in EU NC5)

2.1 Legal requirements

The following sections analyse the legal requirements with respect to the reporting of

national circumstances. The analysis follows along the lines of the types of require-

ments (shall, should, may).

2.1.1 UNFCCC Guidelines on Reporting and Review

Source: (UNFCCC 2000)

(UNFCCC 2000) contains detailed guidelines on how to address national circumstanc-

es in National Communications. This section summarises the requirements according

to type, “Shall” as the strongest, then “should” and “may”.

2.1.1.1 National Circumstances relevant to Greenhouse Gas Emissions and

Removals

Shall requirements

para. 8: Parties shall provide a description of their national circumstances, how na-

tional circumstances affect greenhouse gas (GHG) emissions and removals, and

how national circumstances and changes in national circumstances affect green-

house gas emissions and removals over time.

Should requirements

para. 8: Parties should provide information about how their national circumstances

are relevant to factors affecting greenhouse gas emissions and removals, including

disaggregated indicators, to explain the relationship between national circumstanc-

es and emissions or removals.

May requirements

para. 8: Parties may provide whatever information best describes their own national

circumstances and historic trends. However, to improve comparability of national

communications, the following headings are recommended:

o (a) Government structure

o (b) Population profile

o (c) Geographic profile

o (d) Climate profile

o (e) Economic profile

o (f) Energy (by fuel types where appropriate)

o (g) Transportation

o (h) Industry

o (i) Waste

o (j) Building stock and urban structure

o (k) Agriculture

o (l) Forest

18

o (m) Other circumstances

2.1.1.2 Flexibility in accordance with Article 4.6 and 4.10

Shall requirements

para 9: 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 a full explanation of their circumstances.

2.1.2 UNFCCC reporting Guidelines for Annex I biennial reports and CTF for

biennial reports

Source: (UNFCCC 2012b)

No additional information available for best practice guidance for national circumstanc-

es.

2.1.3 UNFCCC reporting guidelines under Article 7 of the Kyoto protocol



es.

2.2 Analysis of Other Documents


UNFCCC

Source: (UNFCCC 2011a): FCCC/SBI/2011/INF.1

2.2.1.1 Executive Summary

FCCC/SBI/2011/INF.1


es.

2.2.2 Analysis of the UNFCCC 2011b: Synthesis and Compilation Report under

the Kyoto Protocol

Source: UNFCCC 2011b


es.

19

2.2.3 Analysis of the UNFCCC review of the EU’s Fifth National Communication

Source: UNFCCC 2012. Report of the In-depth Review of the Fifth National Communi-

cation of the European Union.

Table 1 Proposed action for the chapter related to national circumstances

Chapter NC5 Action proposed Source of improvement

3.2 Government Structure Report in more detail on legislative arrangements and administrative procedures [NC5 includes limited information on government structure]

Encouragement review report (see annex II, im-provement No.1)

3.6.1 Changes in Overall Gross Domestic Product (GDP) + sectoral chap-ters in chapter 3 where relevant

Report in more detail on impact of the global economic downturn

Encouragement review report (see annex II, im-provement No.1)

2.2.4 Annotated Outline for Fifth National Communications of Annex I Parties

under the UNFCCC, including Reporting Elements under the Kyoto Proto-

col

Source: UNFCCC 2009. Annotated Outline for Fifth National Communications of An-

nex I Parties under the UNFCCC, including Reporting Elements under the Kyoto Proto-

col.

This is an informal document; however, it strives to combine the UNFCCC & KP related

guidelines (6.1.1 & 6.1.3) for NC5 ((which was due to submitted 1st January 2010).

Proposed Structure of this chapter:

National Circumstances relevant to greenhouse gas emissions and removals

Flexibility in accordance with Article 4, paragraphs 6 and 10

The reporting requirements for this chapter

20

2.2.5 Analysis of Parties’ National Communications

In this section some examples for good practice from Parties’ National Communica-

tions are presented. It depends largely on data availability if they can also be trans-

ferred to the EUs’ national communication

2.2.5.1 Introduction

5th NC Luxembourg

Figure showing the trends of population data, GDP at constant prizes, building stock,

final energy consumption (excl. kerosene), passenger cars & commercial vehicles and

total GHG emissions from 1990 onwards.

21

2.2.5.2 Building Stock and Urban Structure

5th NC Belgium

Figure showing the breakdown of types of housing.

Figure showing the share of different energy sources or fuels used primarily for heat-

ing.

2.3 Best practice Implications for the EU 6th national communica-tion and 1st biennial report

2.3.1 Proposed annotated outline of the National Circumstances Chapter of the

6th National Communication

Table 2 Proposed structure of chapters on national circumstances derived

from 2.1 – 2.2 and very short summary of proposed improvements

Chapters NC6 Proposed improvements

3.1 Introduction Include figure presenting the underlying key trends (e.g. population data, GDP, final energy consumption, building stock, passenger cars,...)

3.2 Government Structure Report in more detail on legislative arrangements and administrative procedures [NC5 includes limited information on government struc-ture]

Add some more information on roles and responsibilities (e.g. as in NC3)

3.3. Population profile Map with population density would be useful

3.4 Geographic profile

22

Chapters NC6 Proposed improvements

3.5. Climate profile Include information on precipitation distribution and ex-treme weather events unless it is included in chapter 7

3.6. Economic profile

3.6.1 Changes in Overall Gross Domestic Product (GDP)

Replace illustration 3-7 (GDP PPS) with GDP PPS/capita [GDP/capita is currently not included; this is interesting in order to see economic development across countries]

Report in more detail on impact of the global economic downturn

3.6.2 Development of economic sectors

3.6.3 Trade patterns

3.7 Energy profile

3.7.1 Energy Supply

3.7.2 Energy consumption in different sectors

3.7.3 Liberalisation and privati-sation of energy markets

3.7.4 Energy prices

3.8 Transport profile

3.8.1 Freight Transport

3.8.2 Passenger Transport

3.8.3 Taxes on and prices of transport fuels

3.9 Industry Include production data of energy intensive industries such as iron and steel production and cement production

3.10 Waste Include information on the development in time of waste generation and treatment. In addition, a time series of CH4 recovery from landfills could be added.

3.11 Building stock and urban structure

Include figure showing the breakdown of types of housing. Figure showing the share of different energy sources of fuels used primarily for heating.

Include figure presenting the share of different energy

sources or fuels used primarily for heating. 3.12 Agriculture

3.13 Forest

2.3.2 Content of proposed graphs and tables of the National Circumstances

Chapter of the 6th National Communication

Most graphs and tables included in this chapter in the 5th National Communication will

be updated for the 6th National Communication. In the following some new illustrations

are proposed to be included in different sections of the national circumstances chapter

of the 6th National Communication. The implementation of these new illustrations de-

pends largely on data availability.

Introduction

Include an illustration showing the development of key variables, such as population

data, GDP at constant prizes, building stock, final energy consumption passenger cars

& commercial vehicles and total GHG emissions from 1990 onwards.

23

Population profile

Include a map with population density data.

Economic profile

Replace illustration 3-7 (GDP PPS) of the 5th national communication with GDP

PPS/capita. GDP PPS/ capita better reflects the economic development across coun-

tries.

Building Stock and Urban Structure

Include an illustration showing the breakdown of types of housing (e.g. flats, single

family houses and other).

Include an illustration showing the share of different energy sources or fuels used pri-

marily for heating (e.g. coal, wood, electricity, gas, …) for 2011 and one or two other

historic years (depending on data availability).

24

3 Greenhouse Gas Inventory Information (chapter 4 in EU

NC5)



greenhouse gas inventories. The analysis follows along the lines of the types of re-

quirements (shall, should, may).



(UNFCCC 2000) contains detailed guidelines on summary information from the nation-

al inventory in National Communications. The document is organised in two chapters,

and lays out detailed guidelines for each of them. This section is organised along these

chapters and summarises the requirements according to type; “shall” as the strongest,

then “should” and “may”.

3.1.1.1 Greenhouse Gas Inventory Information – Summary tables

Shall requirements

para. 10: Summary information from the national greenhouse gas inventory

prepared according to part I of these guidelines shall be provided for the period

from 1990 (or other base year) to the last but one year prior to the year of sub-

mission 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).

para. 11: For the purpose of the national communication, complete inventory in-

formation need not be provided. However, at a minimum, Parties shall report

the summary, including carbon dioxide (CO2) equivalent and emissions trend

tables given in the common reporting format contained in the above-mentioned

guidelines.

Should requirements

para. 10: The information provided in the national communication should be

consistent with that provided in the annual inventory information submission of

the year in which the national communication is submitted, and any differences

should be fully explained.

May requirements

para. 11: The summary tables may be provided as an annex, as part of the na-

tional communication rather than in the main text.

25

3.1.1.2 Greenhouse Gas Inventory Information - Descriptive summary

Should requirements

para.12: In the main text of the national communication, Parties should provide

a descriptive summary and should provide diagrams for the GHGs reported in

the summary tables, in accordance with paragraph 11(see above). Parties

should provide a description of the factors underlying emission trends.


biennial reports


No additional information available for best practice GHG inventory information and

information on national systems and national registries



3.1.3.1 National system

Shall requirements

para. 30: Each Party included in Annex I shall provide a description of how it is

performing the general and specific functions defined in the guidelines for na-

tional systems under Article 5, paragraph 1. The description shall contain the

following elements:

(a) The name and contact information for the national entity and its desig-

nated representative with overall responsibility for the national inventory

of the Party (b) The roles and responsibilities of various agencies and entities in relation

to the inventory development process, as well as the institutional, legal and procedural arrangements made to prepare the inventory

(c) A description of the process for collecting activity data, for selecting

emission factors and methods, and for the development of emission es-

timates

(d) A description of the process and the results of key source identification

and, where relevant, archiving of test data

(e) A description of the process for the recalculation of previously submitted

inventory data

(f) A description of the quality assurance and quality control plan, its im-

plementation and the quality objectives established, and information on

internal and external evaluation and review processes and their results

in accordance with the guidelines for national systems

(g) A description of the procedures for the official consideration and approv-al of the inventory.

para. 31: Where the Party included in Annex I has not performed all functions,

the Party shall provide an explanation of which functions were not performed or

26

were only partially performed and information on the action planned or taken to

perform these functions in the future.

3.1.3.2 National registry

Shall requirements

para. 32: Each Party included in Annex I shall provide a description of how its

national registry performs the functions defined in the annex to decision

13/CMP.1 and the annex to decision 5/CMP.1, and complies with the require-

ments of the technical standards for data exchange between registry systems

as adopted by the COP/MOP. The description shall include the following infor-

mation:

(a) The name and contact information of the registry administrator desig-

nated by the Party to maintain the national registry

(b) The names of the other Parties with which the Party cooperates by maintaining their national registries in a consolidated system

(c) A description of the database structure and capacity of the national reg-

istry

(d) A description of how the national registry conforms to the technical

standards for data exchange between registry systems for the purpose

of ensuring the accurate, transparent and efficient exchange of data be-

tween national registries, the clean development mechanism registry

and the transaction log (decision 19/CP.7, paragraph 1)

(e) A description of the procedures employed in the national registry to min-

imize discrepancies in the issuance, transfer, acquisition, cancellation

and retirement of ERUs, CERs, tCERs, lCERs, AAUs and/or RMUs, and

replacement of tCERS and lCERs, and of the steps taken to terminate transactions where a discrepancy is notified and to correct problems in

the event of a failure to terminate the transactions

(f) An overview of security measures employed in the national registry to

prevent unauthorized manipulations and to prevent operator error and of

how these measures are kept up to date

(g) A list of the information publicly accessible by means of the user inter-

face to the national registry

(h) The Internet address of the interface to its national registry

(i) A description of measures taken to safeguard, maintain and recover da-

ta in order to ensure the integrity of data storage and the recovery of

registry services in the event of a disaster

(j) The results of any test procedures that might be available or developed with the aim of testing the performance, procedures and security

measures of the national registry undertaken pursuant to the provisions

of decision 19/CP.7 relating to the technical standards for data ex-

change between registry systems.

27



UNFCCC



FCCC/SBI/2011/INF.1

No additional information available for best practice guidance for GHG inventory infor-

mation


the Kyoto Protocol

Source: UNFCCC 2011b: Decision 10/CMP.6,

The analysis of this section relates to (UNFCCC, 2011b) as this report contains a com-

pilation and synthesis of supplementary information incorporated in the fifth national

communications submitted to the secretariat by Parties included in Annex I to the Con-

vention in accordance with Article 7, paragraph 2, of the Kyoto Protocol.

3.2.2.1 National systems and registries under the Kyoto Protocol

para 97: Although national circumstances, such as the size of the country, domi-

nant economic sectors, and tradition in inter-institutional cooperation, have prede-

termined the diversity in the arrangements for national systems, as a rule, the re-

spective central governmental institution has overall responsibility for the national

inventory and other governmental institutions, implementing agencies, organiza-

tions and consultants also contribute to the preparation of the inventory. For the

multi-state Party of the European Union, the Directorate-General for the Environ-

ment of the European Commission is responsible for preparing the inventory on the

basis of the inventories submitted by the member States. Arrangements estab-

lished in Belgium are somewhat similar, as the three regions compile their own in-

ventories and submit them to the federal governmental agency. Canada’s single

national authority, Environment Canada, has procedural arrangements (memoran-

dums of understanding and data-sharing agreements) between federal depart-

ments. A few Parties (Liechtenstein, Luxembourg and Monaco), given the small

size of their economies, have extensively involved experts from neighbouring Par-

ties to assist them in the preparation of their annual submissions.

para 100: In ensuring the functionality of their national systems in the area of

LULUCF activities, the majority of the Parties have made significant efforts to identi-

fy land areas subject to afforestation, reforestation and deforestation and to esti-

mate and report corresponding emissions and removals. Some Parties developed

new specific legislation (Hungary), whereas others built upon existing legal acts

regulating forest management. Some Parties set up a specialized database (Japan)

and launched a dedicated project to estimate and monitor major carbon stocks and

28

carbon stock changes (Denmark). Most Parties provided a clear description of their

national legislative arrangements and administrative procedures that seek to en-

sure that the implementation of activities under Article 3, paragraph 3, and elected

activities under Article 3, paragraph 4, of the Kyoto Protocol also contributes to the

conservation of biodiversity and the sustainable use of natural resources.




The UNFCCC review team concluded that all reporting requirements have been met in

this section of the EU’s Fifth National Communication. No recommendations have been

expressed to enhance the completeness and quality of this section.



col



col.


guidelines (6.1.1 & 6.1.3) for NC5 ((which was due to submitted 1st January 2010).


A. Summary tables

B. Descriptive summary

C. National systems in accordance with Article 5, paragraph 1, of the Kyoto

Protocol

D. National registry


Inventory Information of Parties’ National Communication has not been analyzed as it

is assumed that this chapter will be mostly ‘copy and paste’ from the EU national inven-

tory report.

29


3.3.1 Proposed annotated outline of the GHG Inventory Information Chapter of

the 6th National Communication

Table 2 Proposed structure of chapters on GHG inventory information de-

rived from 2.1 – 2.2 and very short summary of proposed improve-

ments

Chapters NC6 Proposed improvement

4.1.Introduction and Summary Tables

4.2.Descriptive Summary of EC GHG Emis-sions Trends

4.2.1.Overall Greenhouse Gas Emissions Trends

4.2.2.Emission Trends by Gas

4.2.3.Emission Trends by Main Source

4.2.4.Change in Emissions from Key Source Categories for EU-15

4.2.5.Change in Emissions from Key Source Categories for EU-27

4.2.6.Key Drivers Affecting Emission Trends

4.2.7.Information on Indirect Greenhouse Gas Emissions for EU-15

4.2.8.Information on Indirect Greenhouse Gas Emissions for EU-27

4.2.9.Accuracy/Uncertainty of the Data

4.2.10. Changes from the 5th National Commu-nication

Include more detailed information on recalculations [Only limited information on recal-culations is given in NC5]

4.3.National System

4.3.1.The EC Monitoring Mechanism and Na-tional Inventory System

4.3.2.Quality Assurance/Quality Control (QA/QC) Procedures

4.3.3.Further Improvement of QA/QC Proce-dures

4.3.4.The EC Inventory Methodology and Data Include table on geographical cov-erage

4.3.5.CRF Tables

4.3.6.Data Gap Filling Procedure

4.4.National Registry

3.3.2 Content of proposed graphs and tables of the GHG Inventory Information

Chapter of the 6th National Communication

The graphs and tables included in this chapter in the 5th National Communication will

be updated for the 6th National Communication.

30

4 Policies and Measures (PaMs): Policy Making Process,

Additional Info required under Art. 7(2) KP & Cross-

Cutting PaMs (chapters 5.1-5.3 in EU NC5)




(UNFCCC 2000) contains detailed guidelines on the selection and structure of policies

in measures in National Communications and on how to address their effects . The

document is organised along several chapters, and lays out detailed guidelines for

each of them. This section is organised along these chapters and summarises the re-

quirements according to type. “Shall” as the strongest, then “should” and “may”.

4.1.1.1 Selection of policies and measures for the national communication

Shall requirements

para. 13: information on policies and measures adopted to implement commit-

ments under Article 4.2(a) and (b) in accordance with article 12.2

Should requirements

para. 14: Priority to policies and measures, or combinations of policies and

measures with the most significant impact in affecting GHG emissions and re-

movals

para. 15: policies and measures planned, adopted and/or implemented by gov-

ernments at national, state, provincial, regional1 and local level

para. 15: Policies and measures influencing international transport GHG emis-

sions should be reported in the transport sector.

para. 16: Parties should report on action taken to implement commitments un-

der Article 4.2(e)(ii) of the Convention, which requires that Parties identify and

periodically update their own policies and practices which encourage activities

that lead to greater levels of anthropogenic GHG emissions than would other-

wise occur. Parties should also provide the rationale for such actions in the con-

text of their national communications.

May requirements

para. 14: adopted policies and measures and those in the planning stage with

clear distinction from implemented ones

1 In this context, we understand the wording ‚regional‘ to be related to an administrative unit

below the national level. This differs from our understanding of this wording used in the sec-ond sentence of para 15, cf. ‚May requirements‘ below.

31

para 14: indication of policies and measures which are innovative and/or effec-

tively replicable by other Parties

para. 15: adopted policies and measures in the context of regional2 or interna-

tional efforts

4.1.1.2 Structure of the policies and measures section of the national communi-

cation

Shall requirements

para. 17: reporting of policies and measures by sectors, subdivided by green-

house gas (CO2, CH4, N2O, PFCs, HFCs and SF6) with own textual description

of the principal policies and measures by sector, as set out in section 4.1.1.4.

Should requirements

para. 17: The following sectors should be considered: energy, transport, indus-

try, agriculture, forestry and waste management.

para. 18: In cases where a policy or measure has been maintained over time

and is thoroughly described in the Party’s previous national communication,

reference should be made to this and only a brief description contained in the

latest national communication, focusing on any alterations to the policy or

measure or effects achieved.

May requirements

para. 17: separate text and a table describing cross-sectoral policies and

measures

para. 19: presentation of some information such as the effect of policies and

measures in aggregate for several complementary measures in a particular

sector or affecting a particular gas.

4.1.1.3 Policy-making process

Should requirements

para. 20: The national communication should describe the overall policy con-

text, including any national targets for greenhouse gas mitigation.

para. 21: description of the way in which progress with policies and measures to

mitigate GHG emissions is monitored and evaluated over time.

2 In this context, we understand the wording ‚regional‘ to be related to cooperation between

neighbouring countries, i.e. above the national level. This differs from our understanding of this wording used in the first sentence of para 15, cf. ‚Should requirements‘ above.

32

para. 21: Institutional arrangements for monitoring of GHG mitigation policy

May requirements

para. 20: Strategies for sustainable development or other relevant policy objec-

tives

para. 20: Relevant inter-ministerial decision-making processes or bodies

4.1.1.4 Policies and measures and their effects

Shall requirements

para. 22: Presentation of each policy and measure including information on

o (a) Name and short description of the policy or measure;

o (b): Objectives of the policy or measure;

o (c): The greenhouse gas or gases affected;

o (d): Type or types of policy or measure;

o (e): Status of implementation;

o (f): Implementing entity or entities

para. 25: information on how parties believe their policies and measures are

modifying longer-term trends in anthropogenic GHG emissions and removals

consistent with the objective of the Convention.

Should requirements

para. 22: Concise presentation including information on the detail suggested af-

ter each subject heading:

o (b): Objectives of the policy or measure: focus on the key purposes and

benefits of the policies and measures, including a description of activi-

ties and/or source and sink categories affected. Objectives should be

described in quantitative terms, to the extent possible;

o (d): Type or types of policy or measure: Use of the following terms: eco-

nomic, fiscal, voluntary/negotiated agreements, regulatory, information,

education, research, other;

o (e): Status of implementation: planning stage/adopted/under implemen-

tation.

o (f): Implementing entity or entities: role of national, state, provincial, re-

gional and local government and the involvement of any other entities.

33

May requirements

para. 22e: For adopted and implemented measures, additional information may

include the funds already provided, future budget allocated and the time-frame

for implementation;

para. 24: Information on:

o (a) costs of policies and measures, accompanied by a brief definition

of the term ‘cost’ in this context;

o (b) non-GHG mitigation benefits of policies and measures (e.g. re-

duced emissions of other pollutants or health benefits)

o (c) Interaction with other policies and measures at the national level

(e.g. how policies complement each other in order to enhance overall

greenhouse gas mitigation)

4.1.1.5 Policies and measures no longer in place

May requirements

para. 26: When policies and measures listed in previous national communica-

tions are no longer in place, Parties may explain why this is so.


biennial reports


Shall requirements

Para 6: provide information on its mitigation actions, including on the policies

and measures it has implemented or plans to implement since its last national

communication or biennial report to achieve its economy-wide emission reduc-

tion target.

Para. 6: organize, to the extent appropriate, the reporting of mitigation actions

by sector (energy, industrial processes and product use, agriculture, LULUCF,

waste and other sectors) and by gas (carbon dioxide, methane, nitrous oxide,

hydrofluorocarbons, perfluorocarbons and sulphur hexafluoride).

Para. 7: provide information on changes in domestic institutional arrangements,

including institutional, legal, administrative and procedural arrangements used

for domestic compliance, monitoring, reporting, archiving of information and

evaluation of the progress towards its economy-wide emission reduction target.

Encouragement

Para. 8: provide, to the extent possible, detailed information on the assessment

of the economic and social consequences of response measures.

34

4.1.2.1 Draft decision -/CP.18 Common tabular format for “UNFCCC biennial

reporting guidelines for developed country Parties”

Shall requirement

Para. 4: use the electronic reporting application taking into account their nation-

al circumstances when preparing and submitting their biennial reports in ac-

cordance with decision 2/CP.17.

Annex Table 3: provide information on mitigation actions and their effects in

electronic form according to CTF table 3 year 2020 and optional for other years

before 2020.



(UNFCCC 2006) contains guidelines for the preparation of the additional information

required under Article 7 of the Kyoto Protocol (Decision 15/CMP.1). Guidelines for sup-

plementary reporting relating to the flexible mechanisms, to policies and measures and

to domestic and regional programmes and/or legislative arrangements and enforce-

ment and administrative procedures are included in Section II “Reporting of supple-

mentary information under Article 7, paragraph 2”.

4.1.3.1 Supplementarity relating to the mechanisms pursuant to Articles 6, 12

and 17

This section reflects on supplementary information required in line with the use of flexi-

ble mechanisms under the Kyoto Protocol. Specifically, it states that

Shall requirement

Para 33. provide information on how the use of the mechanisms is supple-

mental to domestic action, and how domestic action thus constitutes a signifi-

cant 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.

4.1.3.2 Policies and measures in accordance with Art 2 (KP)

Shall requirements

Para. 34: specifically address policies and measures implemented and/or fur-

ther elaborated as well as cooperation with other such Parties in achieving its

quantified emission limitation and reduction commitment under Article 3, in or-

der to promote sustainable development.

35

Para. 34: Such reporting shall take into account any relevant decision by the

COP and the COP/MOP resulting from the process for further consideration of

the issue of policies and measures (decision 13/CP.7).

Para. 35: identify the steps taken to promote and/or implement any decisions by

the International Civil Aviation Organization and the International Maritime Or-

ganization in order to limit or reduce emissions of GHG (aviation and marine

bunker fuels)

Para. 36. 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 in-

ternational trade, and social, environmental and economic impacts on other

Parties, especially developing country Parties and in particular those identified

in Article 4, paragraphs 8 and 9, of the Convention.

4.1.3.3 Domestic and regional programmes and/or legislative arrangements and

enforcement and administrative procedures

Shall requirements

Para. 37: 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.

Para. 37 (contd.): describe domestic and regional programmes and/or legisla-

tive arrangements and enforcement and administrative procedures including in-

stitutional arrangements for monitoring of GHG mitigation policy, procedures for

addressing cases of non-compliance under domestic law, institutional arrange-

ments and decision-making procedures that it has in place to coordinate activi-

ties relating to participation in the mechanisms under Articles 6, 12 and 17, in-

cluding the participation of legal entities.

Para. 38: provide a description of any national legislative arrangements and

administrative procedures that seek to ensure that the implementation of activi-

ties FCCC/KP/CMP/2005/8/Add.2 Page 66 under Article 3, paragraph 3, and

any elected activities under Article 3, paragraph 4, also contribute to the con-

servation of biodiversity and sustainable use of natural resources.

36

4.1.4 Regulation of the European Parliament and of the Council on a mecha-

nism for monitoring and reporting greenhouse gas emissions and for re-

porting other information at national and Union level relevant to climate

change (concerning ETS, FlexMechs, supplementarity)

Source: European Parliament & Council of the European Union 2012

Shall-Requirements:

Article 14 (f): Member States shall provide the Commission by 15 March every

two years, starting in 2015, information on the extent to which the Member

State’s action constitutes a significant element of the efforts undertaken at na-

tional level as well as the extent to which the projected use of joint implementa-

tion, the clean development mechanism and international emissions trading is

supplemental to domestic action in accordance with the relevant provisions of

the Kyoto Protocol and the decisions adopted there under.



UNFCCC



FCCC/SBI/2011/INF.1

no recommendation for improvement or best practice is given in the summary

4.2.1.2 Addendum - Policies, measures, and past and projected future green-

house gas emission trends of Parties included in Annex I to the Conven-

tion

FCCC/SBI/2011/INF.1/Add.1

A Overview

Para. 88: The presentation is primarily qualitative, because the reported quanti-

tative estimates of the individual PaMs’ mitigation effects are not necessarily

consistent among Parties in terms of categorization, baseline assumptions,

modelling procedures and methodological approaches.

B Sector Emissions

Para. 94: Insufficient information was reported in the NC5s to distinguish the ex-

tent to which these changes in sectoral emissions were due to structural

change, autonomous (i.e. not related to PaMs) efficiency improvements and

PaMs.

37

D Implementation of policies and measures by sector

Para. 121 (3. Cross-cutting – ETS): No estimates of the global mitigation impact

of the EU ETS in 2008–2012 are reported in the NC5s. However, the EU ETS

registry shows changes in the verified emissions over time (European Energy

Agency (EEA), 2011). The extent to which these emission reductions were due

to mitigation actions versus the global economic slowdown is not explicitly men-

tioned in the NC5s.

4.2.1.3 Addendum - Financial resources, technology transfer, vulnerability, ad-

aptation and other issues relating to the implementation of the Conven-

tion by Parties included in Annex I to the Convention


No information was given for best practice guidance for polices and measures.


the Kyoto Protocol

Source: UNFCCC 2011b: Decision 10/CMP.6,

I. Executive Summary - D. Domestic and regional legislative arrangements and en-

forcement and administrative procedures to meet commitments under the Kyoto Proto-

col

Para. 22: supplementarity of the use of Kyoto mechanisms is defined differently

from Party to Party, mostly because of the use of different baseline assump-

tions to estimate the total effect of domestic action.…..final determination of the

Kyoto units used will be reported in the true-up period report in 2015.

B Implementation of polices and measures by sector

same as in section 4.2.1.2 (D Implementation of policies and measures by sector)




The in-depth review includes recommendations and encouragements. These are

summarized in Table 4.1, sorted regarding the type of advice (recommendation / en-

couragement) and supplemented by the proposed action from the improvement plan.

38

Table 4.1 Issues from EU NC5 review concerning policies and measures

No Action to be taken Status of

ERT sugges-tion

consultants' recommen-dation on priority

Comment

2 report in more detail on the impact of implemented PaMs on the GHG emission levels

Encourage-ment

Include to the extent that recent esti-mates are available

no study or report has been conducted that aggregates ex-post effects across MS and PAMs DG CLIMA pre-fers that rather no quantification should be given than outdated estimates which cannot be considered valid anymore

4

report on ex ante and, where available, ex post estimates of the impacts of individual PaMs,

Encourage-ment


Need to check: what recent information and studies should be used / are available on the ex-post and ex-ante impact of EU level PaMs on emission level, rather no quantification should be given than outdated ones

5 address the implementation costs and fiscal effects of implemented PaMs

may wish to…


no information and studies in relation to cost estimates are available

8 + 13

enhancement of reporting on the methods for monitoring and evaluation of EU-level PaMs across member State

Encourage-ment

include add info on monitoring & evaluation of EU level PaMs

9 + 13

continue to report on its work with member States to im-prove the estimation of the total effect of PaMs.

Encourage-ment

include add info on monitoring & evaluation of EU level PaMs

10 elaborate further on PaMs no longer in place

Encourage-ment

include Need to check whether there are PAMs that are no longer in place

14

assessment of how key individual PaMs may contrib-ute towards the achievement of EU-wide goals

Encourage-ment

ignore

Quantitative assessment of key policies was provided in NC5. This encouragement was also provided in the in-depth review of the NC4. No further information availa-ble.

17

Provision of the estimate of the total effect of PaMs by sector for 1995, 2000 and 2005

Recommen-dation

ignore

There is no requirement in the NC guidelines to report aggregate effects of PAMs by sector. Given the split between ESD and ETS target that determines the emission reduction pathway after 2012 in the EU, it seems relatively irrelevant to aggregate the effects of individual PAMs. no study or report has been conducted that aggregates ex-post effects across MS and PAMs DG CLIMA pre-fers that rather no quantification should be given than outdated estimates which cannot be considered valid anymore

19

indicate the PaMs which could potentially increase emissions in the next national communication.

Encourage-ment

ignore Ignore encouragement related to PaMs that potentially increase emissions.

In addition

3

reporting could better explain the relationship and any interaction between the un-derlying PaMs in each sector with the overarching, cross cutting policies

Note


14

further enhancement of re-porting on the methods for monitoring and evaluation of EU-level PaMs across mem-ber States to improve trans-parency

Considera-tion

include

Source: own representation

The proposed outline of the 6th NC takes these considerations into account (cf. Section

4.3 ).

39



col



col.


guidelines (4.1.1 & 4.1.3) for NC5 (which was due to be submitted 1st January 2010).

The proposed chapter is titled and structured as follows.

IV. Policies and measures, including those in accordance with Article 2 of the

Kyoto Protocol, and domestic and regional programmes and/or legislative ar-

rangements and enforcement and administrative procedures

A. Policy-making process

B. Domestic and regional programmes and/or legislative arrangements and en-

forcement and administrative procedures

C. Policies and measures and their effects

D. Policies and measures no longer in place

For each subsection, the annotation contains, and to some extent explains, the guide-

lines and provides a few additional points that parties may wish to address.

A. Policy-making process:

Parties may wish to provide a brief description on the responsibilities on climate

change related policies in the national government. Who is in charge of coordi-

nation of climate change related policies and measures among different institu-

tions? Which are the most important implementing agencies, financial aspects

and how climate related funds were allocated?

provide key information on the transposition of common and coordinated poli-

cies and measures, including the EU emissions trading scheme and national al-

location plans.

C. Policies and measures and their effects

A table is provided for summarizing policies and measures by sector which is

modified compared to the table shown in the guidelines to allow to present the

link between reporting on policies and measures and projections in a transpar-

ent way.

40

Table 4.2 Summary of policies and measure by sectora

To avoid repetition, Parties may choose not to include all information provided

in the table in the textual description. However, the textual description should

include the name, objective and specific information on policies and measures

not included in the table (such as for example: legal framework, development,

implementation, lessons learned).

Parties may wish to present the aggregated effect of policies and measures for

several complementary measures in case that individual effects are difficult to

be estimated.

Parties may wish to report on cost-effectiveness by clearly distinguishing be-

tween administrative/transaction costs and overall economic costs to the socie-

ty when calculating the ratio between mitigation impact and costs of policies

and measures.

With respect to the subsection on policies and measures in accordance with Art

2 (KP) (compare 4.1.3.2)

o Parties may wish to elaborate on any relationship between policies and

measures implemented under the Convention and those implemented

under Article 2 of the Kyoto Protocol.


Some examples for good practice:

4.2.5.1 Policy-making process/cross-cutting policies

The Swedish National Communication has a an elaborate section on the cost-

effectiveness of policies and measures in the Swedish climate strategy (Chap-

ter 4.4) reflecting on general considerations of cost-effectiveness of climate pol-

icies and providing an estimated mitigation cost curve for measures over the

period 1990-2007.

41

The Finish National Communication provides an insightful overview diagram

showing the institutional arrangements concerning climate policy and its imple-

mentation (compare Figure 4.1).

Figure 4.1 Institutional arrangements concerning climate policy and its imple-

mentation

Source: 5th NC of Finland

42

4.2.5.2 EU Emission Trading System

In most 5th NC, Parties reported by text on EU-ETS, a graphical solution for the differ-

entiation in sectors can be found in the 5th NC of Czech Republic:

Figure 4.2 EU-ETS by sector

Source: 5th NC of Czech Republic

43

A comprehensive aggregation of emissions in- and outside the EU-ETS of each sector

can be found in 5th NC of Sweden:

Figure 4.3 Emissions in and outside the trading scheme

Source: 5th NC of Sweden

Such a detailed view on the EU-ETS sector would be very interesting, but the data

seems not to available for EU-27.

4.2.5.3 Member State use of Flexible Mechanisms

In 5th NCs of other Parties this information is only consisting of a small amount of num-

bers and some explanatory text.

44

4.2.5.4 Supplementarity

Only in some 5th NC’s there is a single chapter on supplementarity (e.g. Germany, New

Zealand and Slovenia).

In Finland’s NC there is a comprehensive table, showing the most important absolute

numbers of emissions and units for compliance (Figure 4.4).

Figure 4.4 Best-practice example of presentation of the use of flexible mecha-

nisms

Source: 5th NC of Finland

This table could be enhanced by the sum of the use of flexible mechanisms and per-

centages showing the relation between the reduction of emissions as domestic effect

and the actual use of flexible mechanisms.



Communication

The following structure is proposed for the policies and measure chapter relating to the

policy making process, additional information required under the Kyoto Protocol and

cross-cutting polices. The outline is annotated to provide a preview of the planned con-

tents for each section.

45

X. Policies And Measures

X.1. The Policy Making Process

Describes the policy making process, update is foreseen depending on how

projections are to be assessed.

X.1.1. Monitoring and Evaluation

Will reflect the current status concerning status concerning the adoption of

the revised Monitoring Mechanism Regulation. It is expected that the new

MMR will be adopted in early 2013 and can therefore be described in this

section together with its implementing/delegated acts. This was also en-

couraged by the review team of the NC5.

X.1.2. Overall Policy Context

This chapter will be updated to reflect the current status on policies. The

following policies will be included:

1. Europe 2020 – with reference to the Lisbon Strategy and the Economic

Recovery Plan

2. European Climate Change Programme

3. Energy and Climate Package

4. Energy 2020 with reference to Second Strategic Energy Review - Secur-

ing our Energy Future

5. Roadmap 2050

6. 7th Environmental Action Program

All programmes will be drafted only as introduction of policy packages: de-

tails will be presented in specific PAMs sections Text on all policies will be

updated or changed to reflect current developments.

X.1.3. Assessment of the economic and social consequences of response

measures

Optional new chapter related to BR encouragement Para. 8:

BR encouragement differs from KP requirement (minimisation of adverse

effects) as the BR encouragement is not explicitly directed to developing

countries and concerns rather the assessment than the minimisation of ef-

fects.

This overview chapter might contain information on general impact as-

sessment process in the EU legislation process, while specific sections on

assessment results might be included in the sections on the single PaMs.

X.2. Changes in institutional arrangements

new chapter related to BR requirement Para. 7:

provide information on changes in domestic institutional arrangements, in-

cluding institutional, legal, administrative and procedural arrangements

used for domestic compliance, monitoring, reporting, archiving of infor-

46

mation and evaluation of the progress towards its economy-wide emission

reduction target

X.3. Additional Information Required Under the Kyoto Protocol

X.3.1. Member State Use of Kyoto Mechanisms

The planned use of Kyoto mechanisms in the first commitment period will

be provided in a table (see Table 4.3) showing per Member State, per EU-

15 and EU-27,

Achievement of Kyoto target planned through domestic action only

Planned use of Flexible Mechanisms at government level

Type of Flexible Mechanisms (IET, CDM, JI)

Projected emission reduction 2008-12 through the use of Kyoto Mecha-

nisms [Mt CO2 eq. per year]

Allocated Budget at government level [Mio €]

Projected use of flexible mechanisms in total emission target compared

to Kyoto base year

Projected use of reductions from sinks under Art. 3.3 and 3.4 [Mt CO2

eq. per year]

Total reduction from Kyoto mechanisms and sinks

For this, the results of the Trends and Projections report 2013 prepared by

Öko-Institut will be used. The actual use of flexible mechanisms as ob-

served in registries will be compared to the information in MMD question-

naires on the expected use of carbon sinks and flexible mechanisms pro-

vided by Member States in 2013. Information about expected use will be

cross checked and confirmed with Member States in case of incomplete,

inconsistent or unclear information (including on financial aspects). .

For 2013-2020, the use of Kyoto Mechanisms as it will be reported in the

spring of 2013 by MS to fulfil the ESD targets will be presented in a table. If

additional information will be available on the use of sinks, it will be incorpo-

rated as well.

X.3.2. Supplementarity relating to the mechanisms pursuant to Articles 6, 12

and 17

This section will explain how supplementarity is ensured in the EU. In addi-

tion numbers will be provided in how far the use of KP mechanisms as

shown in the section above is supplementary to domestic emissions

abatement, based on inventory data 2008-2011 and proxy data for 2012.

Resulting from the analysis of other documents as described in 4.2.5, a ta-

ble similar to Figure 4.4 will be added for EU-15, EU-10 and EU-25, show-

ing total Initial Assigned Amounts, actual emissions (ETS and Non-ETS),

IET, JI, CDM– in absolute numbers and percentages of target reduction for

the first CP, as a first estimate (since final results will only be available in

2015 at the end of the true-up period) (see example in Table 4.4).

47

X.3.3. Policies and measures in accordance with Art 2 (KP)

It is proposed to include a new sub-heading to provide more transparency

with respect to the Art. 2 KP reporting requirements.

X.3.3.1 Policies and Measures Promoting Sustainable Development (KP Art.

2 (1))

This section will describe the EU Sustainable Development Strategy

(SDS) and will reflect the 2011 monitoring report of the strategy.

X.3.3.2 Policies and Measures Related to Bunker Fuels (KP Art. 2 (2))

Policies and measures relating to bunker fuels will be described in the

transport section of the sectoral policies and measures chapter.

X.3.3.4 Minimisation of adverse impacts (KP Art. 2 (3))

This chapter will be coordinated through the National Inventory Report

task in the ETC/ACM. Text may be identical, thus NIR efforts will enter the

NC. It needs to be checked with NIR task force on the topic of timber im-

port and tropical deforestation which were not included in the previous

NIR but were included in the previous NC. At the same time, a number of

topics were included in the previous NIR that were not included in the pre-

vious NC, thus the NC could be extended by adding a discussion of the

impacts of these topics. In particular those were

Impact assessment of EU policies

Directive on the promotion of the use of renewable energy - Promotion

of bio-mass and biofuels

Inclusion of aviation in the EU emission trading scheme

A roadmap for moving to a competitive low carbon economy in 2050

Resource Efficient Europe flagship initiative

X.3.4. Legislative Arrangements and Enforcement /Administrative Procedures

Relevant to Kyoto Protocol Implementation.

This section will show the legislative arrangements and enforcement /

administrative procedures relevant to the Kyoto Protocol implementation

as in the 5th NC. No changes have been reported since.

X.4. Cross-sector Policies and Measures

The following cross-sector policies will be covered in this section:

EU Emissions Trading Scheme

Effort Sharing Decision

Taxation of Energy Products and Electricity

Research and Innovation in Climate and Energy

Structural and Cohesion Funds

National Emissions Ceiling Directive

48

CCS Directive

Still in preparation are policies on “short-lived climate forces (black car-

bon)” and “shale gas” which may possibly be covered here. For the

shale gas policies it is still to be decided whether it is to be covered in

the cross-cutting section or in the energy section.

A cross-sector policy table (compare Table 4.5) will be provided in the

first part or at the end of this chapter, showing information on

Name of policy or measure

Objective and/or activity affected

GHG affected

Type of instrument

Status

Implementing entity or entities

To the extent possible: Estimate of mitigation impact, by gas (for

2005, 2010, 2015, 2020, not cumulative, in Mt CO2 equivalents)

X.4.1. EU Emissions Trading Scheme

Targets, general integration

Description of Phase I + II

Scope, participants, GHG included, allocation methodology, decision on

cap and free allocation, compliance, penalties, verified emissions 2008-

2012, types of units surrendered, auctioning, New Entrance Reserve

(NER), inclusion of aviation (Stop the clock), use of national revenues,

description of monitoring and evaluation provisions.

Table with VE, free allowances and surrendered units by MS and

by sector.

Table with number of installations, auctions and NER by MS.

Graph with EU-ETS emissions in comparison to Non-ETS emis-

sions by MS

Description of Phase III

Cap-setting, NER + NER3000, free allocated allowances, auctioning and

backloading, Transfer of credits between trading periods, on-going pro-

cess for the integration of shipping

EUA market: prices and volumes

Figures with historic EUA trading volumes and prices

Linking the EU ETS to the international carbon market

Explanation of the use of flexible mechanisms period II and III

Linking with external emission trading schemes

49

To the extent, information is available: Interaction with other PaM

Information on this issue will be gathered from different studies.

X.4.2 Effort Sharing Decision

Description of the Decision and its targets, general integration and im-

plementation

X.4.X further individual chapters on each of the cross-cutting policies will be

included here briefly describing the policy and elaborating more on the

information provided in the table as well the potential limits to providing

information required in the table.

• Taxation of Energy Products and Electricity

• Research and Innovation in Climate and Energy

• Structural and Cohesion Funds

• National Emissions Ceiling Directive

• CCS Directive

4.3.2 Content of proposed graphs and tables of the Projections Chapter of the

6th National Communication

Table 4.3 Planned use of Kyoto Mechanisms by Member States

Member

State

Achievement of

Kyoto target

planned through

domestic action

only

Planned use of

Flexible

Mechanisms at

government level

Type of Flexible

Mechanisms

(IET, CDM, JI)*

Projected

emission

reduction 2008-

12 through the

use of Kyoto

Mechanisms [Mt

CO2 eq per year]

Allocated Budget

at government

level [Mio €]

Projected use of

flexible

mechanisms in

total emission

target compared

to Kyoto base

year

Projected use of

reductions from

sinks under Art.

3.3 and 3.4 [Mt

CO2 eq per year]

Total reduction

from Kyoto

mechanisms and

sinks

Notes

50

Table 4.4 Supplementarity: Use of flexible mechanisms 2008-2012 (preliminary

results)

Table 4.5 Summary of cross-sectoral policies and measures

EU-15 EU-10* EU-25*

of which ETS

of which Non-ETS

Preliminary difference to target %

Actual governmental use of flexible mechanisms

IET

CDM

JI

IET

CDM

JI

Use of flexible mechanisms in EU ETS

CDM

JI

Planned total use of flexible mechanisms

IET

CDM

JI

%

Initial assigned Amounts (2008-2012)

Actual Emissions (2008-2012, 2012=proxy)Mt CO2

eq.

Additionally planned governmental use of flexible

mechanisms

Reduction target in absolute numbers (2008-2012)

Percentage of emission reduction by flexible mechanisms

(compared to target)

Mt CO2

eq.

Mt CO2

eq.

2005 2010 2015 2020

Estimate of mitigation impact, by gas

(for a particular year, not cumulative, in

Mt CO2 equivalents)

Name of

policy or

measure

Objective

and/or

activity

affected

GHG

affected

Type of

instrumentStatus

Implementing

entity or

entities

51

5 Sectoral Policies and Measures: Energy, Transport, In-

dustry, Agriculture, Forestry, Waste (chapters 5.4-5.9 in

EU NC5)

Most paragraphs on best practice for the reporting of general Policies and

Measures (PaMs) listed in chapter 4 are also valid for the reporting of sectoral

PaMs. In the following, paragraphs referring to sectoral PaMs only are described.

5.1 All sectors



5.1.1.1 Structure of the policies and measures section of the national communi-

cation

Shall requirements

para. 17: reporting of policies and measures by sectors, subdivided by green-

house gas (CO2, CH4, N2O, PFCs, HFCs and SF6) with own textual description

of the principal policies and measures by sector, as set out in section 4.1.1.4.

Should requirements

para. 17: The following sectors should be considered: energy, transport, indus-

try, agriculture, forestry and waste management.

May requirements

para. 19: presentation of some information such as the effect of policies and

measures in aggregate for several complementary measures in a particular

sector or affecting a particular gas.


biennial reports


Shall requirements

Para. 6: organize, to the extent appropriate, the reporting of mitigation actions

by sector (energy, industrial processes and product use, agriculture, LULUCF,

waste and other sectors) and by gas (CO2, CH4, N2O, PFCs, HFCs and SF6).

52




No Action to be taken Status of

ERT sugges-tion

consultants' recommen-dation on priority

Comment

17

Provision of the estimate of the total effect of PaMs by sector for 1995, 2000 and 2005

Recommen-dation

ignore

There is no requirement in the NC guidelines to report aggregate effects of PAMs by sector. Given the split between ESD and ETS target that determines the emission reduction pathway after 2012 in the EU, it seems relatively irrelevant to aggregate the effects of individual PAMs. No study or report has been conducted that aggregates ex-post effects across MS and PAMs DG CLIMA pre-fers that rather no quantification should be given than outdated estimates which cannot be considered valid anymore

53

5.2 Energy


UNFCCC




tion





PaMs.


Most Parties presented their sectoral PaMs chapter by a description of the policies and

measures per sector and in a few cases also per gas, accompanied by Table 4.5. Most

parties did not provide any additional analyses or graphs. Some Parties provided indi-

cators to illustrate progress in the implementation of policies and measures (ex-post

analysis). One example in energy is Austria.

Austria presented the increasing trend of wind energy In order to show progress in the

implementation of policies and measures related to the promotion of renewable ener-

gies:

54

Spain shows the share of renewable energy in primary energy consumption, 1990-

2008.

The following figure presents the change of gross electricity generation by fuel in the

EU 1990-2008, as reported in the EEA report “Greenhouse gas emissions in Europe: a

retrospective trend analysis for the period 1990-2008” (EEA, 2011). The right hand side

of the graph shows the progress in increasing the share of renewable electricity pro-

duction.

55

5.3 Transport



5.3.1.1 Selection of policies and measures for the national communication

Should requirements:

para. 15: Policies and measures influencing international transport GHG emis-

sions should be reported in the transport sector.



5.3.2.1 Policies and measures in accordance with Art 2 (KP)

Shall requirements

Para. 35: identify the steps taken to promote and/or implement any decisions by

the International Civil Aviation Organization and the International Maritime Or-

ganization in order to limit or reduce emissions of GHG (aviation and marine

bunker fuels)


UNFCCC




tion





PaMs.

56






analysis). One example in transport is Sweden.

Sweden presents in its 5th NC the average fuel consumption of new cars in Sweden.

Starting from 2012, a specific binding CO2 target is calculated for each manufacturer

every year based on the average mass of its fleet. For evaluating the progress of man-

ufacturers towards their targets, the EEA is collecting and quality checking data on

CO2 emissions from passenger cars registered in all Member States of the European

Union since 2010. Using the Member State data, this note provides an overview of the

performance of cars manufacturers in meeting their CO2 emissions targets. A similar

graph can therefore been presented for the EU to show the effect of the Regulation

(EC) No 443/2009 (CO2 from cars).

57

In the following figure, Sweden presents the change of renewable energy supply for

vehicles 2000-2008.

Norway shows CO2 emissions from new cars 2001-2009.

58

The following figure shows the drivers of CO2 emissions from passenger cars 1990-

2008, as reported in EEA, 2011.

59

5.4 Industry/Industrial processes and product use

No guidelines referring to the industry chapter only and no best practise examples in

any 5th NC found.

5.5 Agriculture

No guidelines referring to the agriculture chapter only and no best practise examples in

any 5th NC found.

The following figure shows the drivers of CH4 emissions from enteric fermentation

1990-2008, as reported in EEA, 2011.

5.6 Forestry

No guidelines referring to the LULUCF/forestry chapter only and no best practise ex-

amples in any 5th NC found.

60

5.7 Waste

There are no guidelines referring to the waste chapter only.






analysis). One example in waste is Austria.

Austria demonstrated the overall effect of implemented policies and measures in the

waste sector by the following figure. Single effects of the PaMs could not be deter-

mined.

61

The following figure shows the drivers of CH4 emissions from municipal waste in the

EU, 1995-2008, as reported in EEA, 2011.

62


5.8.1 Proposed annotated outline of the Sectoral PaMs Chapter of the 6th Na-

tional Communication

The sectoral chapters on policies and measures will be structured along the following

outline. The sector industry provides an example for the structure of each chapter.

Each sector chapter starts with a tabular overview of the policies and measures in this

sector including information on quantitative effects of the policies, if available. Then the

specific policies and measures are described. Finally interlinkages of PAMs and PAMs

no longer in place will be addressed.

X Sectoral policies and measures

X.1. General

X.2. Energy

X.3. Transport

(belongs to ‘energy’ section in BR structure. However, a more disaggre-

gated structure than required may be maintained.)

X.4. Industrial processes and product use

X.4.1. Tabular overview of policies and measures

X.4.2. F gas regulation

X.4.3. MAC regulation

X.4.4. Industrial emissions directive (IED)

X.4.5. Interlinkages of policies and measures in the industry sector

X.4.6. Policies and measures no longer in place

X.5. Agriculture

X.6. Land use, land use change and forestry

X.7. Waste

X.8. Conclusions

63

5.8.2 Content of proposed graphs and tables of the Sectoral PaMs Chapter of

the 6th National Communication

The table below will be presented for each sector.

Table 5.1 Summary of policies and measures per sector

The information provided in these tables will be consistent with the Table 3 of the

Common tabular format.

In addition, the project team aims at providing information on indicators which illustrate

progress in the implementation of policies and measures (ex-post analysis). The chap-

ters above include examples for such indicators. The indicators will be provided for the

most important policies and measures (depending on the data availability). However,

some of these indicators mentioned above may overlap with information provided in the

chapter on national circumstances.

64

6 Projections and the total Effects of Policies and

Measures (chapter 6 in EU NC5)



projections of GHG emissions. The analysis follows along the lines of the types of re-

quirements (shall, should, may). Under each headline the source of the information is

provided for easy reference to the full titles as listed in Section 11.



(UNFCCC 2000) contains detailed guidelines on how to address projections and the

total effect of policies in measures in National Communications. The document is or-

ganised along several chapters, and lays out detailed guidelines for each of them. This

section is organised along these chapters and summarises the requirements according

to type. “Shall” as the strongest, then “should” and “may”.

6.1.1.1 Projections

Shall requirements

para. 28: WEM projection in accordance with para. 29

para. 29: WEM projection shall encompass currently implemented and adopted

policies and measures

May requirements

para. 28: WAM and WOM projection

para. 28: In reporting, Parties may entitle their WOM projection as a baseline’ or

‘reference’ projection, for example, if preferred, but should explain the nature of this

projection.

para. 30: may report sensitivity analyses for any of the projections, but should limit

the number of scenarios presented

6.1.1.2 Presentation of projections relative to actual data

Shall requirements

para. 31: Presentation of projections relative to actual inventory data for preceding

years

para. 33: If inventory data has been adjusted, nature of adjustments needs to be

explained.

Should requirements

para. 32: Starting point of WEM and WAM last year of inventory data available in

national communication

para. 33: Present projections relative to unadjusted inventory data for preceding

years

65

May requirements

para. 32: Staring point for WOM 1995 or earlier year, such as 1990 or another base

year, if appropriate

para. 33: use of ‘normalised’ data for projections.

para. 33: only in addition to should requirement of para. 33 presentation of projec-

tions relative to adjusted inventory data.

6.1.1.3 Coverage and presentation

Shall requirements

para. 34: Presentation of projections on sectoral data to extent possible, using

same sectoral categories as in policies and measures section

para. 35: Presentation of projections by gas for CO2, CH4, N2O, PFCs, HFCs and

SF6 (treating PFCs and HFCs collectively in each case)

para. 35: Projections in an aggregated format for each sector as well as for a na-

tional total, using global warming potential (GWP- AR2) values agreed upon by the

Conference of the Parties.

para. 36: projections related to fuel sold to ships and aircraft engaged in interna-

tional transport shall, to the extent possible, be reported separately and not includ-

ed in the totals.

para. 37: If base year for inventory is different from 1990, actual data for that year

needs to be provided

Should requirements

para. 37: Inclusion of projections on quantitative bases for 2005, 2010, 2015 and

2020

para. 37: Presentation in a tabular format by sector and gas for each of the years,

together with actual data for the period 1990 to 2000 or the latest year available

para. 38: Diagrams should be presented showing unadjusted inventory data and a

‘with measures’ projection, for the period 1990 (or another base year, as appropri-

ate) to 2020.

May requirements

para. 35: Projections for indirect greenhouse gases carbon monoxide, nitrogen ox-

ides and non-methane volatile organic compounds, as well as sulphur oxides

para. 38: Additional diagrams may also be presented

6.1.1.4 Assessment of aggregate effects of policies and measures

Shall requirements

para. 39: estimated and expected total effect of implemented and adopted policies

and measures

para. 40: provide an estimate of the total effect of their policies and measures, in

accordance with the ‘with measures’ definition, compared to a situation without

such policies and measures.

66

para. 40: This effect shall be presented in terms of GHG emissions avoided or se-

questered, by gas (on a CO2 equivalent basis), in 1995 and 2000, and should also

be presented for 2005, 2010, 2015 and 2020 (not cumulative savings).

Should requirements

para. 41: clearly present from which year onward PaMs are implemented or not for

calculations referring to para. 41

May requirements

para. 39: total expected effect of planned policies and measures

para. 40: information from para. 40 may be presented in tabular format.

para. 41: total effect of PaMs as difference between WEM and WOM

para. 41: total effect of PaMs based on another methodology (e.g. bottom up)

6.1.1.5 Methodology

Shall requirements

Should requirements

para. 42: Sufficient information to obtain basic understanding of models and ap-

proaches used

para. 43: should briefly:

o (a) Explain for which gases and/or sectors the model or approach was used;

o (b) Describe the type of model or approach used and its characteristics (for

example, top-down model, bottom-up model, accounting model, expert

judgement);

o (c) Describe the original purpose the model or approach was designed for

and, if applicable, how it has been modified for climate change purposes;

o (d) Summarize the strengths and weaknesses of the model or approach

used;

o (e) Explain how the model or approach used accounts for any overlap or

synergies that may exist between different policies and measures.

para. 44: references to more detailed information for (a)-(e)

para. 45: report the main differences in the assumptions, methods employed, and

results between projections in the current national communication and those in ear-

lier national communications.

para. 46: qualitative discussion of sensitivity of the projections to underlying as-

sumptions

para. 47: information on key underlying assumptions and values of variables (e.g.

GDP, energy prices)

para. 47: limit information to data not covered under sector-specific data (para. 48)

para. 48: present relevant information on factors and activities for each sector

May requirements

Information for para. 48 may be presented in tabular format

67


biennial reports


Shall requirements

para. 11: updated projections for 2020 and 2030 consistent with UNFCCC Reporting

Guidelines for Annex I National Communications.

Should requirements

para. 12: report on changes of model/methodologies used in the most recent national

communication.

(UNFCCC 2012a) contains a draft decision on the CTF for biennial reports.



Nothing related to projections.

6.1.4 Draft Regulation of the European Parliament and of the Council on a

mechanism for monitoring and reporting greenhouse gas emissions and

for reporting other information at national and Union level relevant to cli-

mate change (MMR)

Source: (European Parliament & Council of the European Union 2012)

This source is only used for optional and additional information, because it is no legal

requirement for the preparation of 6th National Communications.

Shall requirements

Art 13, 1: two years after Regulation came in force set up, operate and continuously

improve reporting systems.

Art 13, 1: Include relevant arrangements for making projections of GHG emissions by

source and removals by sinks

Art 13, 2: Aim to ensure the timeliness, transparency, accuracy, consistency, compara-

bility and completeness of the information reported.

Art 13, 2: Include, where relevant the use and application of data, methods and mod-

els, and the implementation of quality assurance and quality control activities and sen-

sitivity analysis.

Art 15, 1: Report to Commission by 15 March every two years (starting 2015)

Art 15, 1: Report by GHG emissions by sources and removals by sinks organised by

gas or group of gases and by sector

68

Art 15, 1: shall include quantitative estimates for a sequence of 4 future years ending

with 0 or 5 immediately following the reporting year

Art 15,1: shall take into consideration any policies and measures adopted at Union lev-

el and include:

WOM if available

WEM

WAM if available

Total GHG projections and estimates for projected GHG emission for emis-

sion sources covered by Directive 2003/87/EC and by Decision No

406/2009/EC

Impact of policies and measures, if not included this shall be explained and

stated

Results of sensitivity analysis on projection

References to assessment and technical reports

Art 15, 1a: In case of substantial changes to the information reported pursuant to this

Article during the first year of the reporting period, communicate those changes to the

Commission by 15 March of the year following the previous report.

Art 15, 2: report most up-to-date projections available

Art 15,3: provide national projections to the public in electronic form

Should requirements

Art 15,3: documents made available to the public should include model and method

descriptions, definition and assumptions

May requirements

None.

69

6.1.5 Summary of legal requirements and results of analysis

The following tables list the various requirements for National Communications, providing a kind of checklist. Potential future requirements

as formulated by the draft MMR have been included in these tables. The tables are organized along the lines of

1. Minimum content based on the “shall” requirements of guidelines.

2. Additional, but not required, content based on the “should” requirements of guidelines.

o If 1 and 2 would be considered together, the National Communication would go beyond the “shall” requirements and fulfil

the minimal requirements plus the chosen should requirements.

3. Additional, but not required content based on “may” requirements of the guidelines.

o If 1, 2 and 3 would be considered together, this would refer to a National Communication providing much information be-

yond what is posed by the “shall” requirements.

Table 6-1 Minimum requirements based on “shall” requirements by guidelines from above for projection chapter of the 6th National

Communication

UNFCCC Guidelines for NatCOM UNFCCC Guidelines for biennial

reports and CTF UNFCCC Guidelines

under Article 7 Draft MMR

Projections

WEM Projection including implemented and adopted policies (§28,29)

Updated projections for 2020 and 2030 consistent with UNFCCC reporting guidelines (§11)

Quantitative estimates for a sequence of 4 future years ending with 0 or 5 following the reporting year (Art 15,1)

Results of sensitivity analysis on projection (Art 15,1)

Report most up-to-date projections available (Art 15,2)

Presentation relative to actual data

Presentation relative to actual inventory data for preceding years (§31)

Documentation of adjustments of inventory data (§33)

Coverage and presentation

Disaggregation as deep as possible to Report GHG emissions by sources and removals by

70




sectoral categories (§34) sinks organised by gas or group of gases and by sector (Art 15,1) Presentation by gas for CO2, CH4, N2O,

PFCs, HFCs, SF6 (PFC and HFC to be treated collectively in each case) (§35)

Projections in aggregated format for each sector and as national total based on GWP values agreed by COP (§35)

Total GHG projections and estimates for emission sources covered by Directive 2003/87/EC and by Decision No. 406/2009/EC (Art 15,1)

Projections related to bunker fuels (mari-time, aircraft) reported as possible, and separately, not included in totals (§36)

If inventory base-year not 1990, actual data for that year must be presented (§37)

Assessment of PaMs

Estimated and expected total effect of implemented and adopted PaMs (§39)

Impact of PaMs (Art 15,1)

Estimate of total effect of PaMs in accord-ance with WEM definition, compared to situation without these PaMs (§40)

Effect of PaMs presented as avoided GHG emissions (or sequestered), by gas (CO2eq) for 1995 and 2000 and should also be presented for 2005,2010,2015,2020 (not as cumulative savings) (§40)

Methodology

Report on use and application of data, methods and models, implementation of QA/QC, sensitivity anal-ysis (Art 15,1)

References to assessment and technical reports (Art 15,1)

Report to Commission by 15 March in case sub-stantial changes to information during the first re-porting period came up (Art 15, 1a)

General

Provide national projections to public in electronic form (Art 15,3)

71

Table 6-2 “Should” requirements by guidelines from above for projection chapter of the 6th National Communication





Starting point of WEM and WAM last year of inventory data

Present projections relative to unadjusted inventory data for preceding years.


Inclusion of projections on quantitative bases for 2005, 2010, 2015 and 2020

Presentation in a tabular format by sector and gas for each of the years, together with actual data for the period 1990 to 2000 or the latest year available

Diagrams should be presented showing unadjusted inventory data and a ‘with measures’ projection, for the period 1990 (or another base year, as appropriate) to 2020.

Assessment of PaMs

clearly present from which year onward PaMs are implemented or not for calcula-tions referring to para. 41

Methodology

Sufficient information to obtain basic un-derstanding of models and approaches used

report on changes of mod-el/methodologies used in the most re-cent national communication

documents made available to the public should include model and method descriptions, definition and assumptions

o (a) Explain for which gases and/or sectors the model or approach was used; o (b) Describe the type of model or approach used and its characteristics (for example, top-down model, bottom-up model, accounting model, expert judge-ment); o (c) Describe the original purpose the model or approach was designed for

72




and, if applicable, how it has been modi-fied for climate change purposes; o (d) Summarize the strengths and weaknesses of the model or approach used; o (e) Explain how the model or approach used accounts for any overlap or synergies that may exist between different policies and measures

references to more detailed information for (a)-(e)

report the main differences in the assump-tions, methods employed, and results between projections in the current national communication and those in earlier na-tional communications.

qualitative discussion of sensitivity of the projections to underlying assumptions

information on key underlying assumptions and values of variables (e.g. GDP, energy prices)

limit information to data not covered under sector-specific data (para. 48)

present relevant information on factors and activities for each sector

73

Table 6-3 “May” requirements by guidelines from above for projection chapter of the 6th National Communication




Projections

WAM and WOM (as baseline or reference) projections

Sensitivity analyses (limit number of sce-narios presented)


Starting point for WOM 1995 or earlier year, such as 1990 or another base year, if appropriate

use of ‘normalised’ data for projections

only in addition to should requirement of para. 33 presentation of projections rela-tive to adjusted inventory data


Projections for indirect greenhouse gases carbon monoxide, nitrogen oxides and non-methane volatile organic compounds, as well as sulphur oxides

Additional diagrams may also be present-ed

Assessment of PaMs

total expected effect of planned policies and measures

effect of planned policies and measures in terms of GHG emissions avoided or se-questered may be presented in tabular format.

total effect of PaMs as difference between WEM and WOM

total effect of PaMs based on another methodology (e.g. bottom up)

Methodology

Information for factors and activities per sector may be presented in tabular format

74

6.2 Analysis of Documents

6.2.1 Analysis of the UNFCCC 2011a: Synthesis and Compilation Report under UNFCCC,

FCCC/SBI/2011/INF.1, Source: (UNFCCC 2011a)


FCCC/SBI/2011/INF.1

No additional information available for best practice guidance for projections.

6.2.1.2 Addendum - Policies, measures, and past and projected future greenhouse gas

emission trends of Parties included in Annex I to the Convention


The secretariat conducted additional analyses on which data has been reported by Parties and

summarizes on how many Parties provided which kind of information. Some key issues for best

practice implications are highlighted below:

36 of 40 Parties reported data for 2020.

26 Parties provided WAM projections, 18 Parties provided WOM projections

Most parties provided detailed information on models and approaches used to project ener-

gy-related emissions.

Documentation on how emissions and removals were projected for non-energy sectors was

accomplished by most Parties, but in a less detailed manner.

Most Parties documented three key drivers: average GDP growth, average population

growth, assumed price of crude oil on world market.

Some countries reported besides these key drivers also other drivers of GHG as e.g.: the

expected development of GDP components; the technological evolution and changes, in

particular for energy supply and use, and for existing and future technologies; the expected

rate of use of renewable energy supply and cogeneration of electricity and heat; the level of

imported and/or exported, energy resources; expected revenues from exports; international

CO2 certificate prices; international gas and coal prices; and activity levels for some typical

emission drivers (such as cattle numbers for agriculture or household numbers for energy

use in the residential sector).

Some countries assessed the impact of main drivers through a sensitivity analysis.

Explanation of future trends and matching to historical trends should be given.

Reporting of international bunkers has been accomplished by 14 Parties.

Reporting of GHG emissions including LULUCF has been accomplished by 23 Annex I Par-

ties.

6.2.1.3 Addendum - Financial resources, technology transfer, vulnerability, adaptation and

other issues relating to the implementation of the Convention by Parties included in

Annex I to the Convention


75

No useful information was given for best practice guidance for projections.

6.2.2 Analysis of the UNFCCC 2011b: Synthesis and Compilation Report under the Kyoto

Protocol

Decision 10/CMP.6,


The analysis of this section relates to (UNFCCC, 2011b) as this report contains a compilation and

synthesis of supplementary information incorporated in the fifth national communications submitted

to the secretariat by Parties included in Annex I to the Convention in accordance with Article 7,

paragraph 2, of the Kyoto Protocol.

This section pays close attention to this report as it provides insights into the differences of report-

ing across Parties and especially about the points which have been checked by the UNFCCC sec-

retariat.

Some key issues for best practice implications are highlighted below:

Scenarios (WOM, WEM, WAM)

Expected use of RMU has been reported by 15 Parties (incl. EU and seven of its MS)

Expected use of flexible mechanisms has been reported by 17 Parties

Explanation of methods and approaches has been accomplished by most Parties

Assumptions of key parameters (average growth in gross domestic product, average popu-

lation growth and the assumed price of crude oil on the international market) has been ac-

complished by most parties

Sector projections: Estimated and expected total effect of implemented and adopted PaMs

in the form of GHG emissions sequestered or avoided for 2010 and 2020: 11 Parties pro-

vided detailed projections data by sector for which total effect of PaMs was calculated by

taking the difference between estimated GHG emissions under the WEM scenario and the

WOM scenario.

Effects of measures by sectors: calculated as sums of PaMs by 21 Annex I Parties.


Source: (UNFCCC 2012c)

The in-depth review includes recommendations and encouragements. These are summarized in

Table 6-4, sorted regarding the type of advice (recommendation / encouragement) and supple-

mented by the proposed action from the improvement plan.

Table 6-4 Results of the in-depth review if the Fifth National Communication of the Europe-

an Union

Topic Recommendation / Encouragement Note / Proposed Action

Encouragements

76

Topic Recommendation / Encouragement Note / Proposed Action

Effects of PaMs (…) the ERT encourages the EU to report

expected impacts for all PaMs, where

possible, in order to provide further trans-

parency, and to report aggregated impacts

of PaMs by sector.

Include a presentation of aggre-

gate MS projections by sector

(with measures projection).

Aggregation, gap-filling (…)The ERT noted this additional infor-

mation and encourages the EU to improve

the transparency of the next national com-

munication by including in it these ele-

ments.

Discuss on whether to include or

to refer to EEA QA/QC in the NC.

Key assumptions and

changes since previous

NC

The NC5 presented limited information on

assumptions used in the projections and

did not include a discussion on how the key

assumptions have changed since the NC4.

The ERT encourages the EU to provide

this information in the next national com-

munication

Implement for the key assump-

tions that are harmonized in

WG2 (fuel prices and CO2 prices)

and potentially GDP at EU level.

Consistency of assump-

tions

(…) encourages the EU to continue to

improve the consistency and accuracy of

assumptions in member States' projections

and include a summary of this analysis in

its next national communication.

Report on activities under WG2

in this respect

Sensitivity analysis The ERT considers that a sensitivity analy-

sis of key assumptions is an important

aspect of transparency of the projection

and encourages the EU to include this

analysis in its next national communication.

Provide EUCLIMIT projection as

a sensitivity.

Sectoral projections The ERT noted the limited discussion of

sectoral projections presented in the NC5

and encourages the EU to provide this

information in its next national communica-

tion.

Use sectoral data compiled by

ETC/ACM in 2013

Sectoral projections (…) undertake a number of improvements

regarding transparency and completeness

of reporting; the most important of these

are that the Party: (h) Elaborate on drivers

for sectoral GHG projections;

See row above

Source: own representation

The proposed outline of the 6th NC takes these considerations into account (cf. Section 6.3.1 ).

77

6.2.4 Annotated Outline for Fifth National Communications of Annex I Parties under the

UNFCCC, including Reporting Elements under the Kyoto Protocol


This is an informal document; however, it strives to combine the UNFCCC & KP related guidelines

(6.1.1 & 6.1.3) for NC5 ((which was due to submitted 1st January 2010).


E. Projections

F. Assessment of aggregate effects of policies and measures

G. Supplementarity relating to mechanisms under Articles 6,12 and 17 of the KP

H. Methodology

Regarding the reporting of projections, assessment of aggregate effects of PaMs, Supplementarity

and Methodology mainly the Guidelines are explained, and an example for a figure and table has

been provided.

6.2.5 Analysis of Parties’ National Communications with respect to projections

This section contains the main findings from a screening of other Parties 5th National communica-

tion. It focusses on identifying best-practice examples, related to structure, presentation of infor-

mation with graphs and tables. This screening has been conducted to consider three crucial as-

pects with respect to addressing projections in the 6th National Communication:

the documentation of methods & assumptions

the presentation of the projections

the assessment of aggregate effects of policies and measures

From the analysis of these aspects and under consideration of the guidelines and the in-depth re-

view we derive an annotated structure of the projection chapter itself (see Section 6.3.1).

6.2.5.1 Reporting of Projections by sector

The 5th NC Slovakia contains an example on how to address the presentation of projections in a

concise way. Its presentation includes not only a figure that projects emissions for all scenarios, but

accompanies this figure with a table that includes historical emissions, projected emissions. This

information is presented for all scenarios and subsectors. Table and figure contain units – and the

figure is presented relative to 1990.

78

Figure 6-1 Best-practice example of presentation of projections

Source: 5th National Communication, Slovakia

6.2.5.2 Assessment of aggregate effects of PaMs

The assessment of aggregate effects of policies and measures is captured well in the example

below (Figure 6-2):

Figure and table are used in combination to present the effects. Both of them include several years;

the table further distinguishes sectors and total effects of implemented measures (WEM scenario).

The figure, presented in absolute terms, provides an indication on how the aggregate effect of poli-

cies and measures develops over time: for this purpose one can focus on either the gap between

WOM and WEM (existing measures) or by focussing on the gap between WEM and WAM. The

table then quantifies the data for the effect of existing measures with some sectoral detail.

79

Figure 6-2 Best-practice example of presentation of aggregate effects of policies and

measures

Source: 5th National Communication, Sweden

6.2.5.3 Documentation of methods and assumptions

The following examples (Figure 6-3) provide a clear documentation of key assumptions that under-

lie the resulting projection. All tables includes years, units of measurement are given, so as addi-

tional information (i.e. that the economic downturn has not been considered). The information pro-

vided in Figure 6-3 is preceded by a section on the methodology which describes the models used

for the various projections. Taken together, the methodology, supplemented by the documentation

of key assumptions provides the means to understand how projections have been derived.

While this approach to documenting key assumptions and parameters can be viewed as best-

practice for projections of individual countries, for the EU’s National Communication the documen-

tation of key assumptions will need to follow a different route. The EU projection of GHG emissions

will be based on an aggregation of individual MS GHG projections, thus the documentation of key

80

assumptions and parameters will need to differ from those of individual projections and documenta-

tion will need to be derived in a meaningful way.

Figure 6-3 Best-practice example of documentation of key assumptions & parameters an MS

level

Source: 5th National Communication, Sweden

6.3 Best practice Implications for the EU 6th national communication and 1st biennial report

Taking into account the requirements set out in the various guidelines, the in-depth review of the

EU’s 5th National Communication and the screening of other Parties 5th National Communication,

with respect to the projection chapter, best practice can be summarized as:

Presentation of at least all shall requirements

Presentation of information in an efficient way

Presentation of information in a user-friendly way

Provision of visual and quantitative means (figures, tables and text).

The proposed outline below is based on the assumption that the 6th National Communication will

be a stand-alone product that includes, in the presentation of the projections, the shall require-

81

ments as laid out in the UNFCCC Guidelines for biennial reports and CTF. Where this information

on projections will finally be addressed, still needs to be decided3.

6.3.1 Proposed annotated outline of the Projections Chapter of the 6th National Communi-

cation

In view of the analysis from the preceding sections, considering the best practice implications laid

out in Section 6.3, we propose the following outline of the projection chapter of the 6th National

Communication of the EU.

Each section presented below is accompanied with an annotation that captures the main elements

to be considered in this section.

a. Projections

a.1. Introduction

a.1.1. Context

Briefly set the context of the 6th National Communications projection chapter.

a.1.2. Scenarios

Short introduction (floating text) of each of the scenarios that will be presented.

a.1.3. Key parameters & assumptions

Introduction to key parameters & assumptions that underlie each of the scenarios described in

the above section. Includes a table with parameters (to the extent possible for an aggregated

GHG emission projection) and explanatory text.

a.2. Projections

a.2.1. Total aggregate GHG emission projections

a.2.1.1. Total aggregate GHG emission projections per sector

Presentation of aggregate GHG emission projection per sector (level 1) for all scenarios.

a.2.1.2. Total aggregate GHG emission projections per gas

Presentation of aggregate GHG emission projections per gas for each scenario

a.2.2. GHG emission projections per sector (level 1) and separately for bunker fuels

For each sector (level 1) a subsection includes GHG emission projections for each scenar-

io, including:

Figures with relative data for total GHG emissions for all scenarios including historical

values starting 1990 and projections until 2030,

Tables presenting total GHG for all scenarios, all years (1990, latest inventory,

2010,2015,2020,2025,2030), including information by gas (& sub-sector)

Explanatory text

3 The “shall” issues covered in the guidelines for biennial reports are highlighted in bold green below.

82

a.2.3. GHG emission projections by ETS and non-ETS sectors

Presentation analogous to a.2.2.

a.2.4. Projections of indirect GHG

Presentation to extent possible.

a.3. Assessment of aggregate effects of policies and measures

Presentation of a figure (total GHG emissions per scenario) and presentation of table in-

cluding effects of additional policies & measures (WAM), effects of existing policies &

measures (WEM), total effect of policies & measures. Data is presented per year and in ab-

solute terms (Mt CO2-eq). Explanatory text accompanies information presented in figure

and table.

Aggregated effects will be given separately calculated top-down between WAM and WEM

and bottom up for existing measures (calculated as the sum of effects of PaMs reflecting

the maximum possible effect of these).

a.4. Sensitivity Analysis

As the EU projection will be an aggregation of individual MS projections which all provide

their own sensitivities, this is a different topic for the EU than for individual MS and no own

sensitivity in the original sense can be calculated.

a.4.1. Considering EUCLIMIT results

Results of EUCLIMIT will be presented in comparison to aggregated national projections as

a kind of sensitivity analysis. An analysis of key differences of input parameters between

EUCLIMIT and aggregated or average MS parameters (GDP, fuel prices, CO2 price etc.)

will be added and discussed.

a.4.1.1. Total aggregate GHG emission projections

Presentation of aggregate GHG emission projection for all scenarios.

a.4.1.2. Total aggregate GHG emission projections per gas

Presentation of aggregate GHG emission projections per gas for each scenario.

a.4.1.3. Effects of PaMs

Presentation of effects of PaMs between reference and baseline scenario and short dis-

cussion and comparison to effects aggregated from MS projections.

a.4.2. Considering MS sensitivities

Sensitivity analysis of MS will be mentioned and discussed in an appropriate level of detail,

depending on the results of the comparison between aggregated MS and EUCLIMIT projec-

tions.

83

a.5. Supplementarity

The intended use of flexible mechanisms by governments to fulfil ESD targets in the second

commitment period (as reported by MS in spring 2013) will be presented compared to the total

effects of PaMs reported above. The effect of the EU-ETS and the projected use of flexible

mechanisms by operators will also be taken into account, if information will be available.

a.6. Methodology

a.6.1. Methodology for projections

a.6.1.1. General methodology

Explanation on how EU aggregate projection has been compiled, including explanation

of gap-filling and/or adjustments in the aggregation process (as applied by EEA).

a.6.1.2. Models used for sensitivity analysis

Short explanation that information on MS methodologies for projections will not be re-

peated here.

This chapter therefore will mainly focus on describing the EUCLIMIT methodology which

serves as a sensitivity (thus the chapter on sensitivity (see below) will not be needed).

Introduction on EUCLIMIT methodology that serves as a sensitivity case.

Brief introduction (approx. one paragraph) for each of the models used for the EU GHG projection as provided by EUCLIMIT.

a.6.1.3. Key parameters and assumptions

Brief documentation of key parameters and assumptions in tabular form with explanato-

ry text, where possible compared to EUCLIMIT parameters and assumptions.

a.6.1.4. QA/QC procedure

A reference to QA/QC procedure will be given (=> ETC/ACCM task) which has been

applied for the aggregation of MS projections. In addition it will be explained that the

comparison with EUCLIMIT results is also used for QA/QC.

a.6.1.5. Changes in projection methodologies

(BR should requirement)

Brief explanation of methodological differences to the calculation of projections

in the 5th National Communication – to the extent possible.

a.6.2. Methodology for assessing aggregate effects of policies and measures


Short description of how the aggregate effects of policies and measures have been de-

termined.

84

a.6.2.2. Gap-filling procedure

Documentation of the gap-filling procedures (if it has been necessary) to obtain the ag-

gregate effects of policies and measures.

a.6.3. Methodology for sensitivity analysis

a.3.3.1 and a.3.3.2 will not to be necessary for the EU-NC/BR but for national reports,

refer to a.3.1.2 instead.


Description of the general methodology for sensitivity analysis.

a.6.3.2. Key parameters & assumptions

Tabular presentation of key parameters and assumptions underlying the sensitivity pro-

jection.

a.6.4. Methodology for determination of ETS and non-ETS GHG emissions per sector

Documentation on which basis a distinction between ETS and non-ETS sectors has

been accomplished.

a.7. References for the projection chapter

Provision of all references related to the projection chapter

a.8. Appendix to the projection chapter

Provision of all tables from above for quick reference

85

6.3.2 Content of proposed graphs and tables of the Projections Chapter of the 6th National

Communication

Derived from the analyses above, a suggestion on the general layout and content on figures and

tables is given here. Depending on the nature of each subsection, these figures and graphs will

need to be adjusted according to the content (e.g. presentation by sector or gas) and level of detail

(table to be adjusted to include either subsectors or gases). In this sense, Figure 6-4 and Figure

6-5 serve as suggested templates, which will need to be adjusted according to the respective sub-

section.

Figure 6-4 Example figure for presenting GHG projections relative to 1990

Source: Own representation with dummy data for aggregate GHG emissions. The figure

takes 1990 emissions as 100% and presents all projections relative to that date.

The inventory data is also taken into account. Note: depending on the section of

the projection chapter, this figure will need to be adjusted to account for sec-

tors/gases.

0.0

0.2

0.4

0.6

0.8

1.0

1.2

1.4

1.6

1990 2000 2005 2010 2015 2020 2025 2030

Total GHG emissions (1990 =1)

WEM

WAM

WOM

Inventory

86

Figure 6-5 Example table to represent projection data

Source: own representation. Table includes dummy data on aggregate GHG emissions. The aggregate

data is included as relative data (as in figure), sectoral projections as absolute values, the sums

of the sectors, and all scenarios that are presented. Historical data is highlighted. Note: depend-

ing on the section of the projection chapter, the nature of table will need to be adjusted.

1990 2000 2005 2010 2015 2020 2025 2030

Inventory 1,00 1,05 1,1 1,13

WEM 1,00 1,05 1,10 1,13 1,14 1,14 1,10 1,09

WAM 1,00 1,05 1,10 1,13 1,12 1,11 1,00 0,90

WOM 1,00 1,05 1,10 1,13 1,20 1,25 1,30 1,34

1990 2000 2005 2010 2015 2020 2025 2030

Sum sectors

Sector 1

Sector 2

Sector 3

Sector 4

Sector 5

Sector 6

Sector 7

1990 2000 2005 2010 2015 2020 2025 2030

Sum sectors

Sector 1

Sector 2

Sector 3

Sector 4

Sector 5

Sector 6

Sector 7

WEM

WAM

Total GHG emissions (Mt CO2eq)

Total GHG emissions (1990 =1)

87

7 Vulnerability Assessment, Climate Change Impacts And Adapta-

tion Measures (chapters 7.1-7.3 in EU NC5)



According to the UNFCCC reporting guidelines (para 49), the following requirements are request-

ed:

Shall requirements:

A NC shall include information on the expected impacts of climate change and an outline of the

action taken to implement Article 4.1(b) and (e) with regard to adaptation.

According to Article 4.1(b) and (e) of the Convention, all Parties shall formulate and implement pro-

grammes containing measures to facilitate adaptation to climate change; and cooperate in prepar-

ing for adaptation.

The NC shall report on the following three elements:

A. Expected impacts of climate change

B. Vulnerability Assessment

C. Adaptation measures

May requirements:

Parties are encouraged to use the Intergovernmental Panel on Climate Change (IPCC) Technical

Guidelines for Assessing Climate Change Impacts and Adaptations and the United Nations Envi-

ronment Programme (UNEP) Handbook on Methods for Climate Change Impacts Assessment and

Adaptation Strategies.

Parties may also report on specific results of scientific research in the field of vulnerability assess-

ment and adaptation.

Parties may refer, inter alia, to integrated plans for coastal zone management, water resources and

agriculture.

7.1.2 UNFCCC reporting Guidelines for Annex I biennial reports and CTF for biennial re-

ports

No information related to climate change impacts, vulnerability and adaptation.



88


7.2.1 Analysis of the UNFCCC 2011a: Compilation and synthesis report under UNFCCC,

2011


In chapter D (para 23) of the executive summary, the progress in reporting on climate change im-

pacts, vulnerability and adaptation measures when comparing NC4 and NC5 is presented. When

assessing the information, the UNFCCC concludes that climate change impacts, vulnerability and

adaptation received more attention in the overall climate change policy.

The NC5 showed that the following areas and sectors seem to be most vulnerable to climate

change: water resources, coastal zones, agriculture and food security, human health, forestry, bio-

diversity and natural ecosystems, and infrastructure and economy. Key climate change impacts of

concern reported by Parties in the NC5 included sea level rise, floods, heat waves and water

stress. In addition, some Parties expressed concerns about glacier retreat, permafrost thawing and

wildfires.

The document does not conclude with recommendations for the NC6.

7.2.1.2 Addendum - Policies, measures, and past and projected future greenhouse gas

emission trends of Parties included in Annex I to the Convention

No information on climate change impacts, vulnerability and adaptation.




Part II of the report focuses on climate change impacts, vulnerability and adaptation. In the over-

view chapter A, the general state of art on impacts, vulnerability and adaptation as reported in the

NC5 is presented (see also for 7.2.1.1). Chapter B presents the information reported on climate

change impacts and climate change models for the future. In addition, it highlights a number of

adaptation measures in order to cope with these impacts.

The document does not provide any recommendations to be addressed in the NC6.

7.2.2 Analysis of the UNFCCC 2011b: Synthesis and Compilation Report under the Kyoto

Protocol


89


The report summarises the main conclusions as presented in the NC5 in regard to expected im-

pacts of climate change, vulnerability assessment and adaptation measures. Overall, the accounts

in the NC5 reflect the considerable progress has been made since the NC4.

However, it has been noted that the NC5 did not provide (sufficient) information on the following

issues:

on the vulnerability to climate change and the impacts of climate change on the economy,

urban areas and infrastructure

on its vulnerability and adaptation to climate change with regard to its food security, infra-

structure and economy

on the methods and indicators used to determine vulnerability and adaptation

on the progress of support programmes and projects in its cooperation with developing

countries.

7.2.4 Annotated Outline for Fifth National Communications of Annex I Parties under the

UNFCCC, including Reporting Elements under the Kyoto Protocol

Proposed structure of this chapter:

A. Expected impacts of climate change

B. Vulnerability assessment

C. Adaptation measures

According to the UNFCCC reporting guidelines (para 49), a NC shall include information on the

expected impacts of climate change and an outline of the action taken to implement Article 4.1(b)

and (e) with regard to adaptation.

May requirement:

focus reporting on the following three elements: assessments, action and cooperation in the area of vulnerability, impacts and adaptation

focus reporting to specific results of scientific climate impact research

use the Intergovernmental Panel on Climate Change (IPCC) Technical Guidelines for As-sessing Climate Change Impacts and Adaptations and the United Nations Environment Programme (UNEP) Handbook on Methods for Climate Change Impacts Assessment and Adaptation Strategies

focus reporting to specific results of vulnerability assessments for certain sectors

refer, inter alia, to integrated plans for coastal zone management, water resources and ag-riculture

90

use the table 2bis (below). To summarize information on impacts, vulnerability and adapta-tion.

7.2.5 Other documents with relevance for climate change impacts, vulnerability and adap-

tation

Report of the Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol

on its sixth session, held in Cancun from 29 November to 10 December 2010

Addendum Part Two: Action taken by the Conference of the Parties serving as the meeting of the

Parties to the Kyoto Protocol at its sixth session

Information on the adaptation fund and its review

Report of the Conference of the Parties on its seventeenth session, held in Durban from 28 No-

vember to 11 December 2011

Addendum Part Two: Action taken by the Conference of the Parties at its seventeenth session

Ad hoc Working Group on long-term cooperative action

Decides to extend the Ad Hoc Working Group on Long-term Cooperative Action under the

Convention (with focus on work in the first half of 2012, including, inter alia, on mitigation,

adaptation, finance, technology development and transfer, transparency of action and sup-

port, and capacity-building) for one year in order for it to continue its work and reach the

agreed outcome pursuant to decision 1/CP.13 (Bali Action Plan) through decisions adopted

by the sixteenth, seventeenth and eighteenth sessions of the Conference of the Parties, at

which time the Ad Hoc Working Group on Long-term Cooperative Action under the Conven-

tion shall be terminated;

Also decides to launch a process to develop a protocol, another legal instrument or an

agreed outcome with legal force under the Convention applicable to all Parties, through a

subsidiary body under the Convention hereby established and to be known as the Ad Hoc

Working Group on the Durban Platform for Enhanced Action.

91

Enhanced action on adaptation

Adaptation Committee shall be the overall advisory body to the Conference of the Parties

on adaptation to the adverse effects of climate change

Decision 5/CP.17 on national adaptation plans agrees that

the objectives of the national adaptation plan process are as follows: (a) To reduce vulnera-

bility to the impacts of climate change, by building adaptive capacity and resilience; (b) To

facilitate the integration of climate change adaptation, in a coherent manner, into relevant

new and existing policies, programmes and activities, in particular development planning

processes and strategies, within all relevant sectors and at different levels, as appropriate;

planning for adaptation at the national level is a continuous, progressive and iterative pro-

cess, the implementation of which should be based on nationally identified priorities, includ-

ing those reflected in the relevant national documents, plans and strategies, and coordinat-

ed with national sustainable development objectives, plans, policies and programmes;

enhanced action on adaptation should be undertaken in accordance with the Convention,

should follow a country-driven, gender-sensitive, participatory and fully transparent ap-

proach, taking into consideration vulnerable groups, communities and ecosystems, and

should be based on and guided by the best available science and, as appropriate, tradition-

al and indigenous knowledge, and by gender-sensitive approaches, with a view to integrat-

ing adaptation into relevant social, economic and environmental policies and actions, where

appropriate;

Agrees that the national adaptation plan process should not be prescriptive, nor result in the

duplication of efforts undertaken in-country, but should rather facilitate country-owned,

country-driven action;

A process to enable least developed country Parties to formulate and implement na-

tional adaptation plans

Present a guideline for formulation and implementation of adaptation national plans;

Decides on modalities to support and enable least developed country in adaptation plan-

ning;

Suggests financial arrangements for the formulation and implementation of national adapta-

tion plans in least developed countries

Invitation to developing country Parties that are not least developed country Parties to em-

ploy the modalities for national adaptation plans

Suggests/requests on reporting, monitoring and evaluation

92


The main findings of the screening of Parties National communication on climate change impacts,

vulnerability and adaptation related to good practice in structure, graphs and tables are presented

in the following:

Australia’s Fifth National Communication on Climate Change

Highlighting key issues and development in a box prior to each chapter:

Belgium`s Fifth National Communication on Climate Change

Clear structure of impacts and vulnerabilities along key sectors such as ecosystems and biodiversi-

ty, agriculture and forestry, floods, water resources, coastal regions, infrastructure/energy & indus-

try, human health, tourism.

Overview tables for each sector to highlight climate change impacts, vulnerability and adaptation

including further needs

93

Estonia`s Fifth National Communication on Climate Change

Additional information on training and public awareness in the Annex

Finnish`s Fifth National Communication on Climate Change

Overview table on climate change

Examples highlighting specific issues

94

Summary on adaptation measures and state of progress

New Zealand`s Fifth National Communication on Climate Change

Overview box on key developments since the 4NC

95

UK`s Fifth National Communication on Climate Change

Boxes with practical examples

96


7.3.1 Proposed annotated outline of the Vulnerability Assessment, Climate Change Im-

pacts and Adaptation Measures Chapter of the 6th National Communication

The chapter 7 of the NC5 was structured as followed:

7.1. Overview

7.2. Expected Impacts of Climate Change in Europe and Vulnerability Assessment

7.2.1. Observed and Projected Patterns of Climate Change across the EU

7.2.2. Impacts of Climate Change in the EU

7.3. Adaptation Measures and EC Level Actions on Adaptation

7.3.1. Towards an EU Framework for Action: Climate Change Adaptation White Paper

7.3.2. Mainstreaming Adaptation through the Cohesion Policy

7.3.3. Mainstreaming Climate Change Adaptation in Sectoral Policy

7.3.4. Integrating Adaptation into Environment Impact and Strategic Environmental As-

sessment

7.3.5. Evidence Base for Policy Making

We propose a new structure for chapter 7 in order to reflect better the latest developments across

Europe and the recommendations made by the UNFCCC and others.

In chapter 7.2, information on vulnerabilities needs to be included in addition to observed climate

change patterns and climate change impacts. Comprehensive information on vulnerabilities can be

found e.g. in the indicator report of the EEA 2012 as well as in the background report to the Impact

Assessment accompanying the development of the EU Adaptation Strategy expected in spring

2013. The aim is also to present information on impacts and vulnerabilities for economy, urban

areas, infrastructure and food security (as recommended by the UNFCCC review).

An extensive revision is required in chapter 7.3.1 as the EU policy framework on adaptation has

been progressed significantly since the NC5. The COM has implemented the work programme

established under the White Paper for Climate change adaptation 2009. Thus, more than 30 activi-

ties have been carried out4 and the European Adaptation Strategy has been developed. It can be

expected that the strategy will be published in the first half of 2013. Therefore, the NC6 should con-

tain the latest developments as well as the objectives of the strategy and the next steps planned for

implementation. In addition, information on the relation of EU level actions to Member States activi-

ties will be presented.

4 For a full list see: Report from the Commission to the European Parliament and the Council; Progress to-

wards achieving the Kyoto objectives, Table 15. Available at: http://ec.europa.eu/clima/policies/g-gas/docs/swd_2012_353_en.pdf

http://ec.europa.eu/clima/policies/g-gas/docs/swd_2012_353_en.pdf

http://ec.europa.eu/clima/policies/g-gas/docs/swd_2012_353_en.pdf

97

Also chapter 7.3.2 on the evidence base for policy makers needs to be updated for the NC6. Many

research projects have been funded to improve our understanding of climate change impacts and

adaptation (cf. projects funded under FP7, Interreg, Life+, etc.). In addition, policy relevant infor-

mation on cost of impacts and cost of adaptation has been gained in the last couple of years (cf.

projects such as PESETA, ClimateCost). Nevertheless, knowledge gaps in relation to methodologi-

cal approaches for cost estimates as well as vulnerability assessments, etc. have become obvious

and needs to be included in the NC6.

As recommended by the UNFCCC review, additional information on the support and cooperation

with developing countries should be included for the NC6.

Based on the latest developments and the recommendations by UNFCCC, we suggest the follow-

ing structure for the NC6, chapter 7.1, 7.2 and 7.3 (note: additional or adjusted chapters are high-

lighted in yellow):

Box with key developments

7.1. Overview

7.2. Expected Impacts of Climate Change in Europe and Vulnerability Assessment

7.2.1. Observed and Projected Patterns of Climate Change across the EU

7.2.2. Impacts of Climate Change in the EU

7.2.3. Vulnerability to Climate Change across the EU (including information on indicators)

7.3. EU Level Actions on Adaptation

7.3.1. Towards an EU Framework for Action: EU Strategy for Adaptation to Climate

Change

(NOTE: objectives of the final strategy will be included in spring 2013 and provide the struc-

ture of this sub-chapter)

7.3.1.1 ….

7.3.2. Evidence Base for Policy Making

7.3.2. Support and cooperation with developing countries

A first bilateral meeting between Alfonso Gutierrez-Teira from DG CLIMA and Sabine McCallum

from the project team was held on the 17th of January 2013. Mr Gutierrez-Teira agreed on the sug-

gested structure.

98

7.3.2 Content of proposed graphs and tables of the Vulnerability Assessment, Climate

Change Impacts and Adaptation Measures Chapter of the 6th National Communica-

tion

The main information source to be used for chapter 7 on impacts, vulnerabilities and adaptation will

be the Background Report to the Impact Assessment for the EU Adaptation Strategy (prepared

under the lead of EAA within a DG CLIMA support contract) which contains all relevant and up-to-

date information.

As presented in chapter 7.2.6 on good practice, we aim to work on the following graphs and tables

to increase the readability of the 6NC:

Start the chapter 7 on impacts, vulnerabilities and adaptation with a box presenting the key

developments since the 5NC;

Present an overview table or a graph on projected changes for Europe;

Include boxes presenting concrete examples of adaptation actions taken at the European

level.

99

8 Financial Resources And Transfer Of Technology (including EU

International Co-operation on Climate Change Impacts and Ad-

aptation) (chapters 8 and 7.4 in EU NC5)

8.1 Legal requirements – Financial resources, technology transfer, vulnera-bility, adaptation and other issues relating to the implementation of the Convention by Parties included in Annex I to the Convention – including EU International Cooperation on Climate Change Impacts and Adaptation

The following sections analyse the legal requirements with respect to the reporting of the EU Inter-

national Cooperation on Climate Change Impacts and Adaptation. The analysis follows along the

lines of the types of requirements (shall, should, may).



(UNFCCC 2000) contains detailed guidelines on how to address Financial Resources and Transfer

of Technology. The document is organised along several chapters, and lays out detailed guidelines

for each of them. This section is organised along these chapters and summarises the requirements

according to type by paragraph.

Shall requirements

Paragraph 51: definition of new and additional

Paragraph 52: Support related to vulnerability and adaptation

Paragraph 53: Channels of support

Paragraph 54: Transfer of Technology (some requirements with the paragraph are not mandatory)

Paragraph 55: Technology Transfer success and failure stories (using table 6) (some requirements

with the paragraph are not mandatory)

Paragraph 56: Transfer of technology: steps taken to promote the development of endogenous

technologies and capacities of developing countries


reports – Financial resources, technology transfer, vulnerability, adaptation and

other issues relating to the implementation of the Convention by Parties includ-

ed in Annex I to the Convention – including EU International Cooperation on

Climate Change Impacts and Adaptation


Shall requirements

Paragraph 13: Provision of financial technological and capacity building support (some require-

ments with the paragraph are not mandatory)

Paragraph 14: National approach to tracking provision of support

100

Paragraph 15: Methodologies for reporting

Paragraph 16: Addressing needs of DCs (shall, to the extent possible)

Paragraph 17: Provision of financial support (using table 7)

Paragraph 18: Additional information on provision of financial support (using tables 7a and 7b)

Paragraph 21: Transfer of Technology’s Success and Failure Stories

Paragraph 22: Transfer of Technology (suing table 8)

Paragraph 23: Capacity building (shall, to the extent possible) (using table 9)

Should requirements

Paragraph 19: Private sector financial resources (should, to the extent possible) (using tables 7a

and 7b)

Paragraph 20: Types of financial instruments (using tables 7a and 7b)

8.1.3 UNFCCC reporting guidelines under Article 7 of the Kyoto protocol – Financial

resources, technology transfer, vulnerability, adaptation and other issues relat-

ing to the implementation of the Convention by Parties included in Annex I to

the Convention – including EU International Cooperation on Climate Change

Impacts and Adaptation


FCCC/KP/CMP/2005/8/Add.2

Shall requirements

Paragraph 39: Implementation of Article 10

Paragraph 40: Implementation of Article 10 – Technology Transfer

Paragraph 41: Implementation of Article 11, Definition of New and Additional

Paragraph 42: Contributions to the GEF

Paragraph 43: Funds provided to the Adaptation Fund (mandatory for those Parties that provided

funds)

101



UNFCCC


FCCC/SBI/2011/INF.1

24. Some Parties reported on new multilateral, bilateral and development cooperation initia-

tives with developing country Parties, intended to enable the latter Parties to address and un-

dertake research on the impacts of climate change and the required adaptation processes.

29. In the context of the clean development mechanism, nearly all of the Annex II Parties reported

information on how they have encouraged private-sector activities and public–private partnerships,

and most Annex II Parties reported their pioneering use of carbon finance through the establish-

ment of carbon funds as a means of transferring financial resources to support mitigation activities

in developing country Parties.

34. Although many Annex II Parties reported financial data, the detail and level of aggregation of

these data vary significantly. The main challenges when comparing data across Annex II Parties, in

terms of carrying out a robust aggregation of the data in order to establish the overall trends, relate

to the significant differences in the approaches and methodologies applied by the Parties. These

refer to, inter alia, the sectoral categories used by Annex II Parties to aggregate their financial data,

the reporting periods/years and currency used by Annex II Parties, as well as the tabular and tex-

tual formats used, which are not always consistent with the format recommended in the UNFCCC

reporting guidelines.




Change Impacts and Adaptation


9. Some Parties reported on new multilateral, bilateral and development cooperation initia-

tives with developing country Parties, intended to enable those Parties to address and under-

take research on the impacts of climate change and the required adaptation processes. These ini-

tiatives include cooperation in the water management, agriculture and health sectors.

37 (d) Owing to significant differences in reporting approaches between Annex II Parties as well as

in reporting periods, especially in relation to a major contributor, it is difficult to assess the overall

trend in total bilateral contributions to mitigation-related activities.

37 f. In addition to contributions to the GEF (Global Environment Facility) Trust Fund, Annex II Par-

ties reported contributions to SCCF (The Special Climate Change Fund) and LDCF (The Least

Developed Countries Fun), as well as contributions to the Adaptation Fund under the Kyoto Proto-

col, in particular for the purpose of the operationalization of that fund.

(g) Nearly all of the Annex II Parties reported information on how they have encouraged private-

sector activities and public–private partnerships, including providing examples of initiatives to

102

stimulate private-sector participation in climate change action, particularly in the context of the

clean development mechanism (CDM), as part of their contributions of financial resources for cli-

mate change action. However, such references and figures are difficult to aggregate in a meaning-

ful manner on the basis of the reported figures;

(h) Most Annex II Parties reported their pioneering use of carbon finance through the establishment

of carbon funds, particularly under the CDM, as a means of transferring financial resources to sup-

port mitigation activities in developing country Parties. […] Funding related to carbon finance has

not been limited to direct investments in projects generating emission reduction units, as Annex II

Parties also reported contributions to complementary activities, such as capacity-building for the

use of the CDM and transfer of clean technologies;

37 i. The Climate Investment Funds (CIF) were highlighted and identified by several Annex II Par-

ties as one of the main emerging channels for providing climate finance. CIF are two funds to help

developing countries pilot low-emission (mitigation) and climate-resilient (adaptation) develop-

ment. With CIF support, many developing countries are piloting transformations in relation to clean

technology, sustainable management of forests, increased access to energy through renewable

energy, and climate-resilient development. Some Annex II Parties indicated that these funds aim to

address the short term financing gap between now and 2012 and to pilot approaches for the longer

term;

37 j. Several Annex II Parties reported the development of risk management instruments

against adverse effects of climate change in developing country Parties. Key areas for which

pilot experiences were reported include insurance products developed according to pre-disaster

analysis, and the development of indices as a reference or baseline against extreme weather fluc-

tuations (drought and floods);

40. Annex II Parties reported their financial contributions made to the GEF Trust Fund, SCCF,

LDCF and Adaptation Fund under the Kyoto Protocol, as well as through multilateral and bilateral

channels. Also, Annex II Parties indicated how they have engaged the private sector in mobilizing

additional resources, particularly for mitigation.

41. Annex II Parties reported information on their contributions to the GEF Trust Fund either for a

multi-year period, for a replenishment cycle or for several years over a period. Some Annex II Par-

ties reported their contribution as a total contribution to the GEF, while other Annex II Parties re-

ported only the estimated portion that was allocated to support the climate change focal area, and

others did not specify the category of their contribution. In addition to providing information on their

contributions to the GEF Trust Fund, Annex II Parties reported their contributions to LDCF and

SCCF.

43. Annex II Parties reported these data using differing timescales and currencies, as well as in

various tabular and textual formats, which poses significant challenges in terms of carrying out a

robust aggregation of the data in order to gain an understanding of the overall trends. Some Annex

II Parties did not use the categories provided in the tabular format recommended in the UNFCCC

reporting guidelines.

44. Key reporting issues:

(a) Around seventy per cent of the Annex II Parties reported on their contributions to multilateral

institutions and programmes. Some Annex II Parties acknowledged difficulties in identifying the

103

share of their contributions made to multilateral organizations targeting the implementation of the

Convention and related activities, and only a few of them provided explicit details on such shares,

also by using the Rio markers. Annex II Parties listed a wide range of multilateral institutions, in-

cluding those specified in the UNFCCC reporting guidelines and other multilateral institutions;

(b) Nearly all Annex II Parties provided extensive and detailed information on how bilateral and

regional financial contributions for mitigation and adaptation were provided. Most Annex II Parties

indicated the subsectors that were targeted by such funding, using textual and/or tabular formats;

(c) Annex II Parties provided both quantitative and qualitative information on financial resources.

On the qualitative side, many Annex II Parties provided descriptions of the programmes and pro-

jects that they support in the area of climate change. On the quantitative side, many Annex II Par-

ties reported on financial resources in the tabular formats provided in the UNFCCC reporting guide-

lines. However, some Annex II Parties did not provide the three key tables on the GEF and multi-

lateral and bilateral contributions;

(d) Although many Annex II Parties reported financial data, the detail and level of aggregation of

these data vary significantly. The main challenges when comparing data across Parties relate to

the differences in the sectoral categories used by Annex II Parties to aggregate their financial data,

and in the reporting periods/years and currency used by Annex II Parties;

(e) Although not prevented by the existing UNFCCC reporting guidelines, the use of different time

bases makes any comparison or aggregation of data significantly difficult. Many Annex II Parties

provided information on their financial contributions by year, multi-year period or GEF replenish-

ment cycle, or for several years over a period. Reporting periods vary across Annex II Parties.

Several Annex II Parties reported for a multi-year period without annual breakdown or provided

information on their contributions over a GEF replenishment cycle;

(f) With regard to the base currency used by Annex II Parties for their reporting, the UNFCCC re-

porting guidelines indicate that Annex II Parties have to report information on their financial contri-

butions following a specific tabular format in USD. This, however, is not a mandatory requirement

for reporting on their multilateral, bilateral and regional financial contributions. More than half of the

Annex II Parties provided financial data in their national currencies, including most EU member

States, Canada, Japan, New Zealand, Norway and United Kingdom. The selection of rates for the

conversion of the data into a single currency is highly sensitive and may have significant implica-

tions for the trends and conclusions suggested by the reported figures. For the purposes of this

document, the exchange rates used were taken from the data set of financial indicators of the Or-

ganisation for Economic Co-operation and Development for the relevant years (The relevant ex-

change rates were obtained from <http://stats.oecd.org/index.aspx?queryid=169>).

45. More than half of the Annex II Parties reported that they provided “new and additional” financial

resources pursuant to Article 4, paragraph 3, of the Convention. […] However, in the absence of a

common and official definition of the concept of “new and additional”, the understanding of the na-

ture of “new and additional” resources provided remains divergent and depends on the individual

approach taken by each Party.

46. Five Annex II Parties defined their contributions as “new and additional” in relation to the pledg-

es made in the Bonn Agreements on the implementation of the Buenos Aires Plan of Action. A few

other Annex II Parties, including the United Kingdom, suggested that the “new and additional” na-

104

ture of their contributions should be measured against the target of providing 0.7 per cent of their

gross national income in official development assistance (ODA) by 2013.

47. Norway and Switzerland explicitly defined an individual baseline against which to measure the

“new and additional” nature of their financial contributions.

49. Eight Annex II Parties, all European, applied the Rio markers for reporting on climate-relevant

ODA.

71. Eight Annex II Parties made explicit reference to hard and soft technologies. However, most of

the Annex II Parties implicitly referred to both types of technologies, by providing information on

hard technologies being transferred, as well as information on activities relating to soft technolo-

gies, such as local capacity-building, training programmes and information networks, such as the

Livestock Emissions and Abatement Research Network, established by New Zealand.

75. Many Annex II Parties reported on their provision of support for the development and en-

hancement of endogenous capacities and technologies in developing countries. Capacity-building

activities reported by Annex II Parties include education and training to enhance skills in the de-

sign, installation, operation and maintenance of specific technologies, and project development

skills, and the strengthening of the capacities of national institutions relevant to technology transfer.

Capacity-building forms an integral part of many of the technology transfer programmes and pro-

jects reported by Annex II Parties, at both the individual and the institutional level.

76. Ten Annex II Parties included in their NC5 a separate section on the prominent role of the pri-

vate sector in enhancing the transfer of technologies, while ten other Annex II Parties included in-

formation on the private sector’s major role in the description of their activities related to technology

transfer.

80. Almost all Annex II Parties highlighted activities relevant to supporting the development and

enhancement of endogenous capacities in developing countries. Eleven of them included a sepa-

rate section on capacity-building in their NC5 and other Annex II Parties reported on capacity-

building under their bilateral projects or by completing the relevant table with respect to adaptation.

82. While capacity-building was recognized as a cross-cutting issue by most Annex II Parties, eight

Annex II Parties included a separate section on capacity-building in their NC5. Two of these Annex

II Parties, Italy and Netherlands, additionally made a distinction between their support to capacity-

building activities for mitigation and their support to those for adaptation. Other Annex II Parties

reported on their capacity-building activities within the sections of their NC5 on: multilateral and

bilateral projects under financial resources and transfer of technology; adaptation; research and

systematic observation; and education, training and public awareness.

84. Parties reported on their support provided to developing countries and EIT Parties across the

priority areas of needs identified in the framework for capacity-building in developing countries es-

tablished under decision 2/CP.7 and the framework for capacity building in countries with econo-

mies in transition established under decision 3/CP.7, but they did not make direct reference to

those frameworks.

105


Kyoto Protocol - Financial resources, technology transfer, vulnerability, adapta-

tion and other issues relating to the implementation of the Convention by Par-

ties included in Annex I to the Convention – including EU International Cooper-

ation on Climate Change Impacts and Adaptation


27. Several Parties specifically reported on the use of mechanisms and institutions under the Kyo-

to Protocol for the provision of financial support. Most of the examples and cases provided refer to

the development of emission reduction projects in developing countries in the context of the CDM.

Nearly all Parties reported information on how they have encouraged private-sector activities and

public–private partnerships, including examples of initiatives to stimulate private-sector participation

in climate change action.

265. Many Parties did not necessarily make a clear distinction between the financial support pro-

vided under the Convention and under the Kyoto Protocol; however, several

Parties provided examples of how they are making use of the Kyoto Protocol’s flexibility mecha-

nisms (the CDM, JI and emissions trading) to mobilize financial resources for developing countries.

8.2.3 Analysis of the UNFCCC review of the EU’s Fifth National Communication – Fi-

nancial resources, technology transfer, vulnerability, adaptation and other is-

sues relating to the implementation of the Convention by Parties included in


Change Impacts and Adaptation

Source: UNFCCC 2012. Report of the In-depth Review of the Fifth National Communication of the

European Union.

The next table resumes the actions to be taken on the EU International Cooperation on Climate

Change Impacts and Adaptation based on the paragraph of the IDR.

Table 8-1 Recommendations from the in-depth review of the NC5

Action to be taken

Reference /para IDR

Quotation IDR

improve structure of financial report-ing

122 / 164

(122) The ERT encourages the EU to improve the structure of the section on financial resources by providing more information in tabular and graph-ical format and focusing on the climate-oriented actions. 164. The ERT encourages the EU to undertake a number of improve-ments regarding transparency and completeness of reporting; the most important of these are that the Party: (k) Improve the structure of the section on financial resources by providing more information in tabular and graphical format and fo-cusing on the climate-oriented actions;

106

Action to be taken

Reference /para IDR

Quotation IDR

Provide more de-tailed information on support for LDCs

164 / 118

164. The ERT encourages the EU to undertake a number of improve-ments regarding transparency and completeness of reporting; the most important of these are that the Party: (j) Provide more detailed information on support for LDCs; 118. The NC5 reports financial resources to a number of non-Annex I Par-ties and indicates that its policies and programmes for climate change are designed to give particular priority to least developed countries (LDCs). The NC5, however, did not provide detailed information on the funds allo-cated or disbursed to LDCs or specific measures or programmes to assist these countries to meet their cost for adaptation. The NC5 did indicate, though, that to assist the EU in meeting this reporting requirement a study is being conducted to better understand adaptation cost in developing countries and how the EU can best direct its resources. The ERT encour-ages the EU to provide more detailed information on support for LDCs in its next national communication.

information on the progress of sup-port programmes and projects in its cooperation with developing coun-tries

114

114. The NC5 provided a comprehensive report on the cooperation of the EU with developing countries and its contribution to the Nairobi work pro-gramme on impacts, vulnerability and adaptation to climate change. Dur-ing the review, the EU provided further information on its cooperation with developing countries. These include policy documents (for example, Agenda for Change (2009) and Environment Integration Strategy (2009)). The cooperation of the EU with developing countries on adaptation covers a wide scope in terms of sectors and number of developing countries. The EU may wish to include in the next national communication infor-mation on the progress of support programmes and projects in its cooperation with developing countries.

increase trans-parency of finan-cial reporting by a) presenting the data on finance by clearly identifying the funds allocat-ed to mitigation, adaptation, ca-pacity-building and technology transfer; b) specifying the allocated and dis-bursed financial resources c) identifying clearly the funds for development assistance that is complimentary to climate activities d) reporting on the effectiveness of the use of its fi-nancial resources and the efficiency of the delivery

123

123. Also, the EU may wish to consider in the next national communica-tion: (a) presenting the data on finance by clearly identifying the funds al-located to mitigation, adaptation, capacity-building and technology trans-fer; (b) specifying the allocated and disbursed financial resources; and (c) identifying clearly the funds for development assistance that is complimen-tary to climate activities. Also, the EU may wish to consider reporting on the effectiveness of the use of its financial resources and the efficiency of the delivery (percentage of the funds that reach the recipient countries and impacts of the financial resources). In particular, an assessment of the im-pacts of financial resources provided may be conducted using the meth-ods of other international processes such as the Global Environment Fa-cility.

Clarification on the definition of “new and addi-tional” financial resources;

163 / 115

163: The key recommendations are that the EU: (a) Improve completeness and transparency of reporting by including in the next national communication the following information: (ii) Clarification on the definition of “new and additional” financial resources; 115. The information provided in the NC5 on the provision of financial re-sources includes most of the information required by the UNFCCC report-ing guidelines and decision 15/CMP.1. The ERT noted that the EU did not define explicitly which financial resources are defined as "new and addi-tional". During the review week, the EU clarified that financial resources provided since publication of the NC4 are considered to be "new and addi-tional". The ERT recommends that the EU include a clear indication of what "new and additional" financial resources it has provided in its next national communication.

107

Action to be taken

Reference /para IDR

Quotation IDR

streamlining the chapter on finan-cial resources by emphasizing spe-cific climate fi-nance instead of ODA

122

122. The ERT recommends that the EU enhance the transparency of its reporting on financial resources through: (a) streamlining the chapter by emphasizing specific climate finance instead of ODA; (b) highlighting key channels and programmes; and (c) clarifying the follow-ing: the scope of the source of financial resources (EU budget or member States’ budget), the share of technology transfer in financial resources, the extent of climate elements within the pre-accession funds, and the institu-tional arrangements for channelling of climate financial resources.

highlighting key channels and programmes in chapter on finan-cial resources

122

122. The ERT recommends that the EU enhance the transparency of its reporting on financial resources through: (a) streamlining the chap-ter by emphasizing specific climate finance instead of ODA; (b) highlight-ing key channels and programmes; and (c) clarifying the following: the scope of the source of financial resources (EU budget or member States’ budget), the share of technology transfer in financial resources, the extent of climate elements within the pre-accession funds, and the institutional arrangements for channelling of climate financial resources.

clarify the scope of the source of financial re-sources (EU budget or member States’ budget)

122

122. The ERT recommends that the EU enhance the transparency of its reporting on financial resources through: (a) streamlining the chap-ter by emphasizing specific climate finance instead of ODA; (b) highlight-ing key channels and programmes; and (c) clarifying the following: the scope of the source of financial resources (EU budget or member States’ budget), the share of technology transfer in financial resources, the extent of climate elements within the pre-accession funds, and the in-stitutional arrangements for channelling of climate financial resources.

clarify the share of technology trans-fer in financial re-sources

122

122. The ERT recommends that the EU enhance the transparency of its reporting on financial resources through: (a) streamlining the chap-ter by emphasizing specific climate finance instead of ODA; (b) highlight-ing key channels and programmes; and (c) clarifying the following: the scope of the source of financial resources (EU budget or member States’ budget), the share of technology transfer in financial resources, the extent of climate elements within the pre-accession funds, and the institu-tional arrangements for channelling of climate financial resources.

clarify the extent of climate ele-ments within the pre-accession funds

122

122. The ERT recommends that the EU enhance the transparency of its reporting on financial resources through: (a) streamlining the chap-ter by emphasizing specific climate finance instead of ODA; (b) highlight-ing key channels and programmes; and (c) clarifying the following: the scope of the source of financial resources (EU budget or member States’ budget), the share of technology transfer in financial resources, the extent of climate elements within the pre-accession funds, and the institu-tional arrangements for channelling of climate financial resources.

clarify the institu-tional arrange-ments for chan-nelling of climate financial re-sources

122

122. The ERT recommends that the EU enhance the transparency of its reporting on financial resources through: (a) streamlining the chap-ter by emphasizing specific climate finance instead of ODA; (b) highlight-ing key channels and programmes; and (c) clarifying the following: the scope of the source of financial resources (EU budget or member States’ budget), the share of technology transfer in financial resources, the extent of climate elements within the pre-accession funds, and the institutional arrangements for channelling of climate financial resources.


the UNFCCC, including Reporting Elements under the Kyoto Protocol

The NC guidelines, including the annotated outline prepared by the UNFCCC secretariat call for

reporting on cooperation with developing countries in relation to vulnerability and adaptation in two

chapters:

Chapter VI on Vulnerability assessment, climate change impacts and adaptation measures,

where Parties may focus their reporting on, inter alia, cooperation in preparing for adapta-

tion (in the scope of the Party’s implementation of Article 4.1 (b) and (e)); and

Chapter VII on Financial resources and transfer of technology, including information under

articles 10 and 11 of the Kyoto Protocol, where detailed information on the assistance pro-

vided for the purpose of assisting developing countries that are particularly vulnerable to the

108

adverse effects of climate change in meeting the costs of adaptation to those adverse ef-

fects.

The proposed outline for chapter VII (not including any new guidance from the Biennial Report

Guidelines) is as follows:

VII. Financial resources and transfer of technology, including information under Articles 10

and 11, of the Kyoto Protocol

o VII.A. Provision of new and additional resources

o VII.B. Assistance to developing country Parties that are particularly vulnerable to

climate change

o VII.C. Provision of financial resources

Financial resources, including under Article 11 of the Kyoto Protocol

o VII.D. Activities related to transfer of technology

o VII.E. Information under Article 10 of the Kyoto Protocol


The following are elements of national communication from different Parties which may be high-

lighted as good practices in reporting.

Australia presents its values in USD, as well as the exchange rates (estimated as an average ex-

change rate) and the source for the exchange rate.

Belgium presents and overview of its cooperation policy and official development assistance

(ODA), which facilitates framing and understanding its climate change cooperation. It provides fig-

ures for its overall ODA and the climate-related parts, further classified as mitigation and adapta-

tion. It provides charts (in addition to the required tables), which facilitate the reading of the textual

information and allow for a clear overview of the evolution in Belgium’s climate support. It reports

on technology transfer and capacity building in the same chapter, thus following more closely the

concept of “hard” and “soft” technology.

Czech Republic provides, in part, its financial support figures in its national currency and in USD

(including the exchange rate).

As Belgium, Denmark provides a description of its overall development and cooperation policy.

Denmark also presents an overview of how it promotes and facilitates private sector climate

change related investments in developing countries, which is in line with the requirements of the

Biennial Reports.

Likewise, France also reports how its bilateral relations with developing countries are facilitating

and promoting private sector investment, including technology transfer.

Several countries (France, Denmark, Luxembourg, Netherlands, Switzerland) refer to other sec-

tions of its NC where it reports on the implementation of its Kyoto Protocol article 10 commitments,

thus avoiding duplication of information.

Germany provides information on private sector projects with public financing.

109

New Zealand provides the range of fluctuation of national currency in relation to the USD during the

reporting period (report is in national currency, though).

Norway reports “its” definition of new and additional, while noting that there is no such agreed defi-

nition.

Portugal reports that the exchange rate used is the rate of the day of transfer of funds (although it

refers to one specific rate).

Sweden uses exchange rates as per December 11 each year. It also devotes one specific section

to cooperation with least developed countries (LDCs).

Switzerland reports on the importance of the private sector and on the role of the public sector in

technology transfer.

The UK approach to reporting is reader friendly and promotes understanding: instead of reporting

on a long list of projects and initiatives, the UK provides a description of its cooperation programs,

goals and key partners, complemented by the required tables.


Reporting on financial resources and transfer is rather complex and has become more challenging

with the requirements under the Biennial Reports.

Information needs now to be tracked with a much higher level of detail then before and that will

result in more transparent information.

From the information above, the following best practice recommendations can be made:

Headings of chapters should be strictly followed as per the UNFCCC guidelines and the

outline prepared by the UNFCCC secretariat

Tables (names, columns, rows and headings) should be exactly as agreed in the UNFCCC

guidelines

Figures for financial support should be reported in USD and, if feasible, in national currency

o The exchange rate should always be given, including the source of the exchange

rate

o The exchange rate can be:

An average exchange rate for the reported year

A specific exchange rate in a given day (day of disbursement or any other

clearly fixed date, such as the last day of the calendar year or financial year).

Reporting on cooperation on adaptation should be made in this chapter. references to the

information provided in this chapter can be made in other chapters, namely the chapter on

vulnerability and adaptation

If any support is specifically made available under article 11 of the Kyoto Protocol, than

such distinction shall be made; otherwise, report on financial support shall make reference

to both the commitments under the convention and the protocol

References to the relevant section of the NC on the implementation of article 10 of the Kyo-

to Protocol shall, where relevant, be made in this chapter.

110

8.3.1 Proposed annotated outline of the Chapter on Financial Resources and Trans-

fer of Technology of the 6th National Communication

8.3.1.1 National Communication

VII. Financial resources and transfer of technology, including information under Articles 10 and 11,

of the Kyoto Protocol

VII.A. Provision of new and additional resources

Similar requirement in the BR. This could either be copied in both places or cross-reference.

Clarification how new and additional was determined (similar requirement in BR). This could either

be copied in both places or cross-reference.

Report table 3. Financial contribution to GEF. The financial contribution to GEF is included in table

7(a) of the CTF for BR. Table 7(a) is more detailed than table 3 and therefore it is recommended to

refer to this table in the NC.

VII.B. Assistance to developing country Parties that are particularly vulnerable to climate change

Detailed information to developing countries for adaptation (table 5). In the UNFCCC NC guidelines

information in textual format is required here in addition to quantitative information. Table 5 is partly

integrated in Table 7(b) of the BR, however the subdivision of adaptation into capacity-building,

coastal zone management and other vulnerability assessments as required for the NC is not in-

cluded in table 7(b) and the entry lines of table 7(b) could also be organized by project/ programme

and not be recipient country/ region as required in the NC. However, countries could include addi-

tional sectors capacity-building, coastal zone management and other vulnerability assessments

under ‘other sectors’ in table 7(b) of the CTF and organize the information by region or by recipient

country. Then they could use this table for both reports, the NC and the BR and would only need to

compile one table related to the information on adaptation finance.

VII.C. Provision of financial resources

Bilateral and Multilateral Financial resources, including under Article 11 of the Kyoto Protocol

Table 4 (Financial contributions to multilateral institutions and programmes) is incorporated in table

7(a) (Provision of public financial support: contribution through multilateral channels) of the CTF,

therefore it could be replaced with a reference to table 7(a) in the Annex with the CTF instead of

using table 4 in the NC. The CTF tables are more detailed, and offer additional options for dis-

aggregation, therefore they seem to be preferable compared to the tables included in the NC.

Table 5 (Bilateral and regional financial contributions related to the implementation of the Conven-

tion) is embedded in table 7(b) (Provision of public financial support: contribution through bilateral,

regional and other channels) of the CTF, therefore it could be replaced with a reference to table

7(b) in the Annex with the CTF instead of using table 5 in the NC. The CTF tables are more de-

tailed, and offer additional options for disaggregation, therefore they seem to be preferable com-

pared to the tables included in the NC.

111

VII.D. Activities related to transfer of technology

Steps taken by governments to promote, facilitate and finance transfer of technology, and to sup-

port development and enhancement of endogenous capacities and technologies of developing

countries: Some general description could be prepared related to the overarching activities for

technology transfer and capacity building and included in both parts (NC and BR). This para is rel-

evant for both the Convention and the KP reporting, for the KP reporting a reference to Article 10

KP should be made in the report.

Activities related to technology transfer: report success and failure stories in Table 6

Distinguish between activities of the public and the private sector

Report on encouragement of private activities in textual format

In textual format: steps taken to promote, facilitate and finance transfer of technologies and en-

hancement of capacities. The success and failure stories are a non-mandatory element of the BRs.

It is suggested to keep this in the NCs. Some general descriptive information on support for tech-

nology transfer should be prepared (including how private activities are encouraged) and included

in both parts (NC and BR) or only in BR and NC could refer to these sections.

VII.E. Information under Article 10 of the Kyoto Protocol

Refer to relevant section of the NC on implementation of article 10.

8.3.1.2 Biennial Report

12. Provision of financial, technological and capacity building support to developing coun-

tries

a. General information

i. Information how the support is new and additional: Same requirement for NC, should be

explained in BR.

ii. Description of methodology/ assumptions used/ national approach to track the provision

of finance, technology and capacity-building support, include information on indicators

and delivery mechanisms used and allocation channels tracked. If this info is reported in

NC only report on changes

b. Finance

i. Description, to the extent possible, how country seeks to ensure that the resources it

provides effectively address the needs of non-Annex I Parties with regard to climate

change adaptation and mitigation. This requirement is specific to the BR and difficult to

implement. Could address generally the needs of countries are assessed for develop-

ment assistance and how effectiveness of assistance is evaluated.

ii. Table 7: summary information on provision of support. BR guidelines require information

in tabular and textual form. Summary of table 7 should be provided highlighting:

amounts for mitigation and adaptation, allocation channels and annual contributions.

112

iii. Table 7(a): multilateral support BR guidelines require information in tabular and textual

form. Summary of table 7(a) should be provided

iv. Table 7(b): bilateral and regional support: BR guidelines require information in tabular

and textual form. Summary of table 7(b) should be provided

v. report, to the extent possible, on private financial flows leveraged by bilateral climate fi-

nance towards mitigation and adaptation activities in non-Annex I Parties,

vi. report on policies and measures that promote the scaling up of private investment in

mitigation and adaptation activities in developing country Parties

c. Technology development and transfer

i. Table 8: Provision of technology development and transfer support. BR guidelines re-

quire information in tabular and textual form. The guidelines request in particular

measures and activities related to technology transfer implemented or planned since its

last national communication or biennial report.

d. Capacity-building

i. Table 9: Provision of capacity building support. BR guidelines require information in

tabular and textual form, the latter as a description of selected individual measures and

activities.

113

9 Research And Systematic Observation (chapter 9 in EU NC5)


The following sections analyse the legal requirements with respect to the reporting Research and

Systematic Observation (RSO). The analysis follows along the lines of the types of requirements

(shall, should, may).



(UNFCCC 2000) contains detailed guidelines on how to address RSO in National Communications.

The document is organised along several chapters, and lays out detailed guidelines for each of

them. This section is organised along these chapters and summarises the requirements according

to type by paragraph.

Shall requirements

57: Parties shall communicate information on their actions relating to research and systematic ob-

servation.

58: address both domestic and international activities (for example, the World Climate Programme,

the International Geosphere-Biosphere Programme, the Global Climate Observing System, and the

IPCC). They shall also reflect action taken to support related capacity-building in developing coun-

tries

59: provide summary information on global climate observing system activities in accordance with

paragraph 64

Should requirements

59: to guide reporting under section IX, parts A and C, Parties should refer to the detailed guidance

provided in the UNFCCC reporting guidelines on global climate observing systems (contained

herein, see pages 101-108).

60: report, in summary form, on action taken. For example, the results of research studies or model

runs or data analysis should not be included in this section

9.1.1.1 General policy on and funding of research as systematic information

Should requirements

61: provide information about general policy on and funding of research and systematic observa-

tion

62: identify the opportunities for and barriers to free and open international exchange of data and

information and report on action taken to overcome barriers

114

9.1.1.2 Research

Should requirements

63: provide, inter alia, information on highlights, innovations and significant efforts made with re-

gard to: a) Climate process and climate system studies, including paleoclimate studies; b) Model-

ling 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.

9.1.1.3 Systematic observation

Should requirements

64: provide summary information on the current status of national plans,

programmes and support for ground- and space-based climate observing systems, including long-

term continuity of data, data quality control and availability, and exchange and archiving of data in

the following areas: a) Atmospheric climate observing systems, including those measuring atmos-

pheric 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.


reports


Not applicable.



FCCC/KP/CMP/2005/8/Add.2

I. Information under Article 10 of the Kyoto Protocol:

39: Each Party included in Annex I shall report its activities, actions and programmes undertaken in

fulfilment of its commitments under Article 10.

40: Each Party included in Annex I 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

According to Articles 10d and 10f, of the Kyoto Protocol, Annex I Parties shall report information on

their programmes and activities undertaken to cooperate in scientific and technical research

and promote the maintenance and the development of systematic observation systems and

115

development of data archives to reduce uncertainties related to the climate system, the adverse

impacts of climate change and the economic and social consequences of various response strate-

gies, and promote the development and strengthening of endogenous capacities and capabilities to

participate in international and intergovernmental efforts, programmes and networks on research

and systematic observation, taking into account Article 5 of the Convention.



UNFCCC


Source: FCCC/SBI/2011/INF.1

35. Many Parties are continuing their national research and systematic observation programmes

and plans concerning climate change over the long term, and several Parties are enhancing their

strategic focus on climate change research. Research on climate processes and the climate sys-

tem continues to be a high priority for many Parties. Scientific information on climate change is

increasingly connected to policy processes, the formulation of strategies to address climate change

and the development of technological solutions in the context of sustainable development.

36. Many Parties reported on their continued efforts to reduce uncertainties associated with the

physical science basis and the understanding of the climate system. In addition, interdisciplinary

research activities, in particular relating to socio-economic aspects and adaptation to climate

change were highlighted by many Parties. Climate change related research is increasingly incorpo-

rated into energy research and other sectoral research as well as into research and development in

relation to innovative technologies for mitigation. In this regard, the energy, infrastructure and

transport sectors were highlighted as priority areas for research by several Parties.

37. Parties generally engage actively in international research cooperation and programmes . As in

previous national communications, several Parties reported in their NC5 on their active participa-

tion in the work of the Intergovernmental Panel on Climate

Change and their contributions to its assessment reports and their participation in relevant interna-

tional research programmes. Many Parties cooperate also in regional research activities. Polar

research (e.g. in the context of the International Polar Year) emerged as a prominent area for inter-

national cooperation on research.

38. A variety of activities relevant to capacity-building for climate-related research and systematic

observation in developing countries was highlighted by Parties. Such activities include collaboration

on regional research networks and projects, enhanced partnerships with institutions and private-

sector partners, and the provision of support to other relevant activities to build capacity, such as

for gathering climate-related information and enhancing understanding of regional climate trends

and vulnerabilities.

39. With regard to systematic observation, Parties reported on cooperation through networks for

systematic observation and data exchange, in particular within the framework of the Global Climate

Observing System and the World Meteorological Organization. While most Parties emphasized the

116

monitoring of atmospheric climate variables, several Parties highlighted also their contributions to

terrestrial and oceanic observing systems. Advances reported by Parties relating to systematic

climate observations include progress made in improving the coordination of activities relevant to

observations, for example in the oceanic domain. In addition, information was provided on activities

initiated in response to the actions identified in the Implementation Plan for the Global Observing

System for Climate in Support of the UNFCCC.




Source FCCC/SBI/2011/INF.1/Add.2

41. With regard to cooperation in the area of scientific and technical research and systematic ob-

servation, as referred to in Article 10(d) of the Kyoto Protocol, Parties generally reported related

activities in the section of the NC5 on research and systematic observation under the Convention.


Kyoto Protocol

Not applicable

117


Source: UNFCCC 2012. Report of the In-depth Review of the Fifth National Communication of the

European Union.

The next table resumes the actions to be taken on RSO based on the paragraph of the IDR.

Table 9-1 Recommendations from the in-depth review of the NC5

Action to be taken Reference /para IDR

Quotation IDR

Report on the opportunities and chal-lenges to free and open international exchange of data and information and report on actions taken to overcome identified barriers.

134 / 164

134. During the review, the EU provided the ERT with addi-tional information, namely on the Open Access Pilot in FP7 initiative carried out by the DG RTD, whereby there is open access to knowledge generated by FP7-funded projects under several themes, including environment and climate change. In addition to the standard public access to many project deliver-ables, the pilot aims to allow easy and free access to scientific information, in particular peer-reviewed scientific articles pub-lished in journals within an embargo period of no more than six months. The ERT encourages the EU to report in its next na-tional communication on the opportunities and challenges to free and open international exchange of data and information and report on actions taken to overcome identified barriers. The ERT also encourages the EU to structure the extensive information on the research and systematic observation in a more effective fashion. 164. The ERT encourages the EU to undertake a number of improvements regarding transparency and completeness of reporting; the most important of these are that the Party: (l) Identify the opportunities for and barriers to free and open international exchange of data and information on research and systematic observation and reporting on action taken to overcome barriers.

Structure the extensive information on the research and systematic observation in a more effective fashion.

134

134. During the review, the EU provided the ERT with addi-tional information, namely on the Open Access Pilot in FP7 initiative carried out by the DG RTD, whereby there is open access to knowledge generated by FP7-funded projects under several themes, including environment and climate change. In addition to the standard public access to many project deliver-ables, the pilot aims to allow easy and free access to scientific information, in particular peer-reviewed scientific articles pub-lished in journals within an embargo period of no more than six months. The ERT encourages the EU to report in its next na-tional communication on the opportunities and challenges to free and open international exchange of data and information and report on actions taken to overcome identified barriers. The ERT also encourages the EU to structure the extensive information on the research and systematic observation in a more effective fashion.

These actions were discussed with representatives from the EC in the bilateral kick of meeting and

it was decided the following:

1. On the contents and reporting approach it was agreed that:

a. The chapter will be streamlined in order to be more “reader friendly” and the pol-

icies/programmes/projects will be presented in a objectives/aims/results

118

b. That the issue raised in the last review of “reporting on the opportunities and

challenges to free and open international exchange of data and information and

report on actions taken to overcome identified barriers“ will be discussed in the

EC internally, not being an immediate priority but further discussed later

c. The focus of this report would be on the latest developments since NC5 focusing

the 2009-2012 period

d. Regarding the RSO policy, an institutional mapping will be done including roles

and responsibilities of each entity

e. The results of the April evaluation of the FP7 will be included

f. A description of Horizon 2020 (replacing what would be FP8) will be presented

(most likely still as a proposal text).



Parties shall communicate information on their actions relating to research and systematic ob-

servation.

The NC shall address both domestic and international activities (for example, the World Climate

Programme, the International Geosphere-Biosphere Programme, the Global Climate Observing

System, and the IPCC). They shall also reflect action taken to support related capacity-building

in developing countries (para 58).

VIII.A. General policy on research and systematic observation

According to the UNFCCC reporting guidelines (para 59), Parties shall provide summary infor-

mation on GCOS activities (in accordance with paragraph 64 of the UNFCCC reporting guidelines

(contained in FCCC/CP/1997/7, pages 101-108)).

According to Articles 10d and 10f, of the Kyoto Protocol, Annex I Parties shall report information on

their programmes and activities undertaken to cooperate in scientific and technical research

and promote the maintenance and the development of systematic observation systems and

development of data archives to reduce uncertainties related to the climate system, the adverse

impacts of climate change and the economic and social consequences of various response strate-

gies, and promote the development and strengthening of endogenous capacities and capabilities to

participate in international and intergovernmental efforts, programmes and networks on research

and systematic observation, taking into account Article 5 of the Convention.

For the subchapters of Research and then on Systematic Observation the paragraphs of the 2000

UNFCCC guidelines are referred.

119


Australia and the UK start the chapter by highlighting the key developments since the last NC is a

summarized and streamlined way.

120

Australia is also a good example of a simple structure. Their work was facilitated due to the existing

of the technical report on climate change (below).

121

9.2.5.1 General policy on and funding of research and systematic observation

On the institutional framework a diagram of the institutions and programmes can help understand-

ing and summarizing the institutional mapping on RSO or R and SO independently. Example from

the Irish NC5.

122

Tabular formats or graphs concerning the level of funding (if possible also including international

cooperation) of the topic can help understanding the trend (examples from Portugal and New Zea-

land, respectively.

123

9.2.5.2 Research

Romania shows some results of their modelling.

124

Spain represents its research percentages per areas.

9.2.5.3 Systematic information

The mapping of the different Observa-

tion networks/grids can help to visual-

ize the intensity of the data collection.

Example from the NC5 of Italy.

Spain presents a complete set of tables representing its participation on SO activities.

125


Based on the above mentioned the proposed annotated outline is described, as well as some

graphs and tables that probably will evolve during the curse of the drafting of the chapter.

9.3.1 Proposed annotated outline of the RSO of the 6th National Communication

In what concerns the contents, the NC5 outline with what has been discussed and decided with the

EC representatives will be used. The proposed contents for the RSO chapter is:

1. (Brief introduction and summary to the chapter)General policy on and funding of re-

search and systematic observation

a. General policy on RSO (including institutional mapping, roles and responsi-

bilities; include also CB and TT activities)

i. EU

ii. International cooperation (mainly with DCs, LDCs)

b. Funding of RSO

i. EU

ii. International cooperation (mainly with DCs, LDCs)

2. Summary information on GCOS activities. Decision 11/CP.13

(FCCC/CP/2007/6/Add.2) adopted a separate decision with reporting requirements

related to Global observation systems for climate. Detailed technical reports should

be provided in conjunction with national communications.

3. Research

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.

4. Systematic observation

a) Atmospheric climate observing systems, including those measuring atmos-

pheric constituents;

b) Ocean climate observing systems;

c) Terrestrial climate observing systems;

d) Cryosphere

e) Paleoclimate

f) Support for developing countries to establish and maintain observing sys-

tems, and related data and monitoring systems.

5. Annex

a) Catalogue with the summary of the RSO projects

126

9.3.2 Content of proposed graphs and tables of the Projections Chapter of the 6th Na-

tional Communication

Some graphics/tables can be done with the evolution of the funding on R and SO. Also, pic-

tures/figures related to the projects can be used in order to the chapter to be more appealing. The

specific design of graphs and tables will be subjected to the data availability.

127

10 Education, Training and Public Awareness (chapter 10 in EU

NC5)


The following sections analyse the legal requirements with respect to the reporting Education, train-

ing and public awareness. The analysis follows along the lines of the types of requirements (shall,

should, may).



(UNFCCC 2000) contains brief guidelines on how report activities related to education, training and

public awareness in the National Communications. The guidance is limited to two paragraphs in

which the second repeats most of the guidance provided in the first. This section classifies the re-

porting requirements on education, training and public awareness in relation to its mandatory na-

ture. “Shall” are the strongest requirements, then “should” and “may”.

Shall requirements

Paragraph 65 (first sentence) - 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.

Should requirements

Paragraph 65 (second sentence) - In this section, Parties should report, inter alia, on public infor-

mation and education materials, resource or information centres, training programmes, and partici-

pation in international activities. Parties may report the extent of public participation in the prepara-

tion or domestic review of the national communication.

May requirements

Paragraph 66 - The national communication may present information on such aspects as:

(a) General policy toward education, training and public awareness;

(b) Primary, secondary and higher education;

(c) Public information campaigns;

(d) Training programmes;

(e) Resource or information centres;

(f) Involvement of the public and non-governmental organizations;

(g) Participation in international activities.

128


reports

These guidelines do not include any requirements related to education, training and public aware-

ness.


These guidelines are generally understood not to include any references to education training and

awareness raising. However, paragraph 27 states that:

27. Each Party included in Annex I shall report its activities, actions and programmes undertaken in

fulfilment of its commitments under Article 10.

Paragraph 10e of the Kyoto Protocol states that:

(e) Cooperate in and promote at the international level, and, where appropriate, using existing bod-

ies, the development and implementation of education and training programmes, including the

strengthening of national capacity building, in particular human and institutional capacities and the

exchange or secondment of personnel to train experts in this field, in particular for developing

countries, and facilitate at the national level public awareness of, and public access to information

on, climate change. Suitable modalities should be developed to implement these activities through

the relevant bodies of the Convention, taking into account Article 6 of the Convention.

While it has been the practice from all Parties not to specifically report on education, training and

awareness raising in the additional information submitted under article 7.2 of the Kyoto Protocol, it

should be good practice, in reporting under the convention, to state whether or not the reported

activities have also been implemented in relation to article 10 e of the Kyoto Protocol or not.



UNFCCC

FCCC/SBI/2011/INF.1

No additional information available for best practice guidance for education, training and public

awareness.

10.2.2 Addendum - Financial resources, technology transfer, vulnerability, adaptation

and other issues relating to the implementation of the Convention by Parties in-

cluded in Annex I to the Convention


The key issues related to good practice in reporting highlighted in the synthesis report are:

129

All Parties reported in their NC5 information on their accomplishments, lessons learned and

experiences gained as well as information on gaps and barriers, as called for in the amend-

ed New Delhi work programme on Article 6 of the Convention.

Parties have covered in depth matters related to education and public awareness activities,

while their reporting on public participation, public access to information and international

cooperation was somewhat limited.

Parties provided limited information on the topic of access to information, probably because

of the possible overlapping of this area with the area of public awareness.


No specific recommendations have been made in the in-depth review report.



Source: UNFCCC 2009. Annotated Outline for Fifth National Communications of Annex I Parties

under the UNFCCC, including Reporting Elements under the Kyoto Protocol.

The outline recalls that Parties should refer to and identify any activities related to education, train-

ing and awareness raising which have been implemented in accordance with article 10 paragraph

e) of the Kyoto Protocol.


Australia provides information in different sections related to:

education and training

public awareness

public access to information

International initiatives

This allowed for a more comprehensive and generic approach, while avoiding duplication. It fo-

cused reporting on schools, universities and vocational training and on the relationship with indus-

try and NGO on matters related to education and training.

In relation to international activities, Australia focused on knowledge sharing and capacity building,

as well as on research and scholarships.

Belgium, on its part, gives emphasis to awareness raising in its NC, providing detailed and illustrat-

ed details about its many different awareness raising campaigns. The format used by Belgium

seems very suitable for knowledge and experience sharing.

130


Reporting on education, training and public awareness should be a very simple and straightforward

activity, as the mandatory requirements are indeed few and the guidance is very generic.

Nonetheless, in order to increase transparency, it is recommended that information is provided

respecting the headings provided in paragraph 66 of the UNFCCC National Communications Re-

porting Guidelines.

It is also recommended that the information is presented in a clear user friendly way, in order to

enhance the sharing of experiences with other Parties.

10.3.1 Proposed annotated outline of the Projections Chapter of the 6th National Com-

munication

Education, training and public awareness

a) General policy toward education, training and public awareness;

b) Primary, secondary and higher education;

c) Public information campaigns;

d) Training programmes;

e) Resource or information centres;

f) Involvement of the public and non-governmental organizations;

131

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UNFCCC, 2012a. Advance unedited version Draft decision - / CP . 18 Common tabular format for “UNFCCC biennial reporting guidelines for developed country Parties”, UNFCCC., http://unfccc.int/files/meetings/doha_nov_2012/decisions/application/pdf/cop18_crf.pdf

UNFCCC, 2012b. Outcome of the work of the Ad Hoc Working Group on Long-term Cooperative Action under the Convention, Decision 2/CP.17, in: Report of the Conference of the Parties on its seventeenth session , held in Durban from 28 November to 11 December 2011. Adden-dum. Part Two: Action taken by the Conference of the Parties at its seventeenth session De-cisions adopted by the Conference of t, FCCC/CP/2011/9/Add.1

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UNFCCC, 2011b. Compilation and synthesis of supplementary information incorporated in fifth national communications submitted in accordance with Article 7, paragraph 2, of the Kyoto Protocol, FCCC /SBI/2011/INF.2

UNFCCC, 2006. Guidelines for the preparation of the information required under Article 7 of the Kyoto Protocol, Decision 15/CMP.1, in: Report of the Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol on its first session , held at Montreal from 28 No-vember to 10 December 2005. Addendum. Part Two : Action taken by the Conference of the Parties serving as, UNFCCC., FCCC/KP/CMP/2005/8/Add.2

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5th National Coomunications of Annex I parties as available at http://unfccc.int/national_reports/annex_i_natcom/submitted_natcom/items/4903.php