The global framework for action on climate change

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					The global climate change regime and
negotiations for a post-2012 framework

           Training workshop on climate change
           for professional staff of UNECA
           17-20 November 2009

           Dan Bondi Ogolla
           Chief Legal Adviser
           UNFCCC secretariat
Part I: International legal framework
Major milestones in the international
climate change process
  1992 Rio Earth Summit: Adoption of the UN
       Framework Convention on Climate Change

 1997   COP 3 Kyoto: Adoption of the Kyoto Protocol

  2001 COP 7 Marrakesh: Finalization of the technical details
       relating to the Kyoto Protocol – “Marrakesh Accords”

 2005   16 February: Entry into force of the Kyoto Protocol

        Montreal: UN Climate Change Conference (COP 11- CMP 1)
        Launched discussions on future international regime
The United Nations Framework Convention
on Climate Change: Reviewing the basics

• Adopted at the fifth session of the
  INC in New York on 9 May 1992
• Opened for signature from 4 to
  14 June 1992 at UNCED (the “Earth
  Summit”) and thereafter, at the UN
  HQs in New York until 19 June 1994
• Entered into force on 21 March 1994
The United Nations Framework Convention
on Climate Change: Reviewing the basics

• Currently has 194 Parties – near
  universal participation
• Framework legal instrument:
  foundation of global efforts to
  combat climate change
Ultimate objective of the Convention
(Article 2)

   Ultimate objective: “ . . . to achieve . . .
   stabilization of greenhouse gas
   concentrations in the atmosphere at a
   level that would prevent dangerous
   anthropogenic interference with the
   climate system . . .”

• Mitigating climate change and its
  impacts lies at the heart of the
  Convention’s objective
Ultimate objective of the Convention
(Article 2)

• Mitigating climate change:
   – Limiting, or as appropriate, reducing,
     anthropogenic GHG-emissions by
   – Preserving or, as appropriate,
     enhancing sinks and reservoirs of GHGs
   Ultimate objective of the Convention
   (Article 2)

• Mitigating impacts: Adaptation
  – Formulate & implement measures to
    facilitate adequate adaptation to
    climate change
  – Parties to co-operate in preparing for
    adaptation to impacts of climate
 Ultimate objective of the Convention
 (Article 2)

– Take climate change considerations
  into account in relevant social,
  economic & environmental practices
  and actions and employ appropriate
  methods, e.g. impact assessments.
– Full consideration of actions necessary
  to meet the specific needs & concerns
  of developing countries arising from
  adverse effects of climate change and
  impact of response measures.
 Ultimate objective of the Convention
 (Article 2)

– Assistance to developing countries to
  meet the costs of adaptation to
  climate change.
Principles guiding Parties to the Convention
(Article 3)
• Common but differentiated responsibilities

• Precautionary principle

• Full consideration for developing country needs and

• Right to sustainable development

• Supportive and open economic system
Groups of Parties under the Convention

• Annex I Parties

• Non-Annex I Parties

   – Categorization based on the principles of equity and
     common but differentiated responsibilities

   – Developed country Parties required to take the lead

   – The specific needs and special circumstances of developing
     country Parties to be given full consideration
Obligations of Annex I Parties
under the Convention
• Expected to take the lead in modifying long-
  term trends in GHG emissions (Article 4.2(a))

• Pledged to adopt national PAMs that aim to
  return national GHG emissions to 1990 levels by
  the year 2000 (Article 4.2(b))

• Required to submit regular reports (NCs)
  detailing their climate change PAMs
  (Article 4.2(b)) and an annual inventory of their
  GHG emissions
Obligations of Annex II Parties

• Provide new and additional financial resources to
  developing countries to help them tackle climate change
  (Article 4.3)
    – FM established under Art. 11 for the provision of financial
      resources on a grant & concessional basis.

• Assist developing country Parties that are particularly
  vulnerable to the adverse effects of climate change in
  meeting the costs of adaptation (Article 4.4)

• Facilitate the transfer of climate-friendly technologies to
  both developing countries and EITs (Article 4.5)
Groups of Parties under the Convention|EITs

• Allowed a certain degree of flexibility in
  implementing commitments under Article 4.2 in
  order to enhance their ability to address climate
  change (Article 4.6)

• Identified with an asterisk in Annex I of the
Groups of Parties under the Convention|
Non-Annex I Parties
• Mostly developing countries, including:

   – LDCs (Article 4.9)
   – Parties particularly vulnerable to the adverse effects of
     climate change (Article 4.8) and response measures (Article

• Must report in more general terms on their actions to
  address climate change and to adapt to its effects

• Subject to the obligations of all Parties specified in Article
  4.1, taking into account their common but differentiated
  responsibilities and development priorities
The Kyoto Protocol

• Supplements and strengthens the
  Convention, building upon and
  enhancing many of the commitments
  already in place under the Convention

• Groups countries same as in the

• As at 5 November 2009, had 189 Parties
  representing 63.7% of total CO2 emissions
  in 1990 of Annex I Parties
Groups of Parties under the Kyoto Protocol

• Parties included in Annex I

   – with a QELRC inscribed in Annex B
   – without a QELRC inscribed in Annex B

• Parties not included in Annex I
General commitments for all Parties: Art. 10

• Taking steps to improve the quality of
  emissions data (Article 10(a))

• Formulating and implementing national
  mitigation and adaptation programs
  (Article 10(b))

   – Such programmes to focus on energy,
     transport and industry sectors, agriculture,
     forestry and waste management
General commitments for all Parties

• Promoting environmentally sound
  technology transfer (Article 10(c))

• Cooperating in scientific and
  technical research and promoting
  systematic climate observation
  systems (Article 10(d))
General commitments for all Parties

• Cooperating in and promoting education, training, public
  awareness and capacity-building initiatives (Article 10(e))

• Include in their NCs information on programmes and
  activities undertaken (Article 10(f))

• Give full consideration to actions necessary to meet the
  specific needs and concerns of developing country
  Parties arising from the adverse effects of climate change
  and response measures (Article 10(g))
Core Commitment for Annex B Parties:
Article 3.1
  Parties included in Annex I shall:

   – individually or jointly (e.g., the EC and its member states)
   – ensure that their aggregate anthropogenic CO2 equivalent
     emissions of the GHGs listed in Annex A
   – do not exceed their assigned amounts, calculated pursuant
     to their quantified emission limitation and reduction
     commitments inscribed in Annex B
   – with a view to reducing their overall emissions of such gases
     by at least 5 % below 1990 levels in the commitment period
     2008 to 2012 (Art. 3.1).

  If a Party fails to meet its emission target, it must make up the
  difference, plus 30 per cent, in CP2 (section XV, paragraph 5(a),
  annex to decision 27/CMP.1).
Parties included in Annex B to the Kyoto
Protocol and their emission targets
               Differentiated targets:
                 from +10% to -8%

            Increase                            Cut

Iceland     + 10 %          Canada             -6%
Australia    +8%            Japan
Norway       +1%            Others,             - 8%
                            including   (EU internal “bubble”
                            most EU      range +27 to -28 %)
Greenhouse Gases Regulated
under the Kyoto Protocol (Annex A)
• Carbon dioxide (CO2)   • Hydrofluorocarbons

• Methane (CH4)          • Perfluorocarbons

• Nitrous oxide (N2O)    • Sulphur hexafluoride
Limitation/Reduction of Emissions
in Six Key Sectors/Source Categories
(Annex A)
 • Energy               • Agriculture

• Industrial           • Land use change
  processes              and forestry

• Solvent and other    • Waste
  product use
flexibility mechanisms

• Designed to boost the cost-effectiveness
  of climate change mitigation and assist
  Annex I Parties in meeting their Article 3.1

  – Joint implementation
  – Clean development mechanism
  – Emissions trading
Joint Implementation|Article 6

• An Annex I Party transfers or acquires ERUs from
  projects in another Annex I Party aimed at
  reducing GHG emissions by sources or
  enhancing removals by sinks
   – Additionality condition: Reduction/enhancement must
     be additional to any that would otherwise occur
   – Acquisition of ERUs supplemental to domestic actions
Clean Development Mechanism|Article 12

• Objectives:

   – Assist non-Annex I Parties in achieving sustainable
   – Assist Annex I Parties in achieving compliance with their
     Article 3.1 commitments

• An Annex I Party may use CERs resulting from project
  activities undertaken in the territory of non-Annex I Parties
  to contribute to compliance with part of its commitment
  under Article 3.1

• Share of proceeds used to assist the most vulnerable
  developing country Parties to meet adaptation costs
Emissions Trading|Article 17

• Transfer and/or acquisition of ERUs, CERs, AAUs or
  RMUs by an Annex B Party

• An Annex B Party’s national registry is the
  electronic database that tracks holdings of and
  transactions of these units

• The international transaction log, which is
  administered by the secretariat, monitors and
  tracks transactions of these units
Eligibility requirements

•Eligibility requirements
  –   Party to the Kyoto Protocol
  –   Assigned amount (AA) calculated
  –   National registry in place
  –   National system in place
  –   Submission of the most recent inventory
  –   Submission of supplementary
      information on AA according to Art. 7.1
Eligibility requirements

• Establishing eligibility
  – Initial Report & Review
  – Record parameters in CAD & ITL

• Continue to meet eligibility
  (Annual Reports and review)
 (update of parameters in CAD and ITL)
Kyoto Protocol Obligations
• Supplementary information under Article 7

• Establish National Systems under Article 5.1

• Establish national registries (Art. 7.4)

• Reporting under Article 10

 Review and Compliance
 Kyoto Protocol Obligations

• Supplementary Information - Article 7
   – Each Annex I Party to incorporate in its annual
     inventory supplementary information for the
     purpose of ensuring compliance with Article 3
     (Article 7.1)
   – Each Annex I Party to incorporate into its NCs
     supplementary information to demonstrate
     compliance with commitments under KP
     (Article 7.2)
Kyoto Protocol Obligations

 – Guidelines for preparation of information
   required under Article 7 (decision 15/CMP.1)
 – Objective to ensure compliance with Article 3
Kyoto Protocol Reporting Obligations

• National Systems - Article 5.1
  – Annex I Parties to establish and maintain a
    national system for the estimation of GHG
    emissions and removals.
  – National system is the institutional, legal and
    procedural arrangements for the planning,
    preparation, reporting and archiving of
    inventory information under the Protocol
  – Guidelines for national systems contained in
    decision 19/CMP.1
  Reporting and review:
  timing of reports
4th Nat Communication                                                      3.1 Compliance

           Voluntary Annual Reporting
                   under 7.1                                 ‘True-up period’ Report

   2006     2007        2008   2009     2010    2011      2012      2013       2014    2015

     to establish                       Mandatory Annual Reporting under 7.1
   Assigned Amount

                               Article 8 Review Process

                                Compliance Committee
       Reports under the
       Kyoto Protocol
       Reports required                                             Due date
I.     NC4 under the Convention                                     1 January 2006
       (4/CP.8 and 15/CMP.1)

II.    Reports demonstrating progress                               1 January 2006
       (22/CP.7 and 25/CP.8)

III.   Initial reports under Article 7.4 of the KP (to facilitate   Prior to 1 January 2006, or within 1
       the calculation of the AA and demonstrate capacity to        year of entry into force for the
       account for GHG emissions and AA)                            Party (whichever is later)

IV.    Annual reports under Article 7.1 under the                   15 April 2007 for those Annex I
       Kyoto Protocol (15/CMP.1)                                    Parties that wish to participate in
                                                                    the KP mechanisms
                                                                    15 April 2010 for all other Annex I
                                                                    Parties and thereafter 15 April of
                                                                    every year until 2014

V.     NC5 under the Convention, decision 10/CP.13                  1 January 2010

VI.    True-up period report (to determine compliance with          Due in 2015
       Art. 3.1 commitment)
Kyoto Protocol Reporting Obligations

• Article 10 Reporting
  – Annex I Parties to submit information on action
    taken under the Protocol, including national
    programmes and activities, in accordance
    with Article 7
  – Other Parties to include in national
    communications information on measures that
    address climate change and its adverse

• General
  – Information submitted under Art. 7 to
    be reviewed by ERTs (Art. 8)
• Review process to provide a
 thorough & comprehensive
 technical assessment of

• ERTs to identify any potential
  problem in, and factors influencing,
  the fulfillment of commitments.
• Secretariat to list questions of
  implementation identified in ERT

• General:
  – Procedures & mechanisms relating to
    compliance under the KP established
    by decision 27/CMP.1
  – Compliance Committee established,
    with two branches: FB & EB
• Facilitative branch:
  – FB responsible for providing advice and
    facilitation to Parties in implementing the KP,
    and for promoting compliance
  – Early warning with respect to obligations
    under Articles 3.1, 5.1, 5.2, 7.1 and 7.4
  – The FB can apply the following
     • Advice and facilitation
     • Financial & technical assistance, including
       technology transfer, CB from non-Convention

 – Facilitation of financial and technical
   assistance, including technology
   transfer, CB, taking into account
   Articles 4.3, 4.4 and 5.

• Enforcement Branch: Responsible for
  determining whether a Party is not in
  compliance with
  – Its QELRC
  – Methodological and reporting requirements.
• EB can also apply
  – Adjustments to inventories under Art. 5.2
  – Corrections to the compilation and
    accounting database (CAD) for the
    accounting of AA under Art. 7.4
Questions of implementation

• The CC receives questions of
  implementation from:
  – ERTs
  – Any Party with respect to itself
  – Any Party with respect to another Party
• Consequences applied by the EB:
  – Declaration of non-compliance
Questions of implementation

  – Development of a plan for the Party to
    get back into compliance
  – Suspension from participation in the
    flexibility mechanisms
Questions of implementation

• Where emissions of a Party have
  exceeded it’s AA the EB shall apply
  the following consequences
  – Deduction from the Party’s AA for CP2
    of 1.3 times of the tons of excess
    emissions (30% penalty)
  – Development of a compliance plan
  – Suspension of eligibility to participate in
Thank you!

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