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This section presents the United Nations Framework Convention on Climate Change
(UNFCCC), explains its importance and provides important dates in its creation and
implementation.

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Our daily activities emit greenhouse gases (GHGs), such as carbon dioxide
(CO2) and methane (CH4) into the atmosphere. Emissions do not stay within
country boundaries and contribute to a changing climate that is felt globally.
Therefore all countries are affected whether they emit a large amount of GHGs or
not. A global regime is needed to regulate a progressive reduction of GHG
emissions to safe levels. Since there is only one atmosphere, it does not matter
where these emissions reductions take place.

Further information:

Activities producing CO2 include the burning of fossil fuels to generate energy, or
the cutting down and burning of forests. Agricultural activities and changes in land
use contribute to the emission of methane and nitrous oxide. Industrial processes
release artificial chemicals, halocarbons (CFCS, HFCs, PFCs) and other long-
lived gases such as sulphur hexaflouride (SF6) (UNEP & UNFCCC (2002).
Climate Change Information Kit, p1.

In addition to regulating and reducing emissions, a global regime is needed to

support developing countries to adapt to the impacts of the changing climate.
These impacts are now unavoidable due to the historical build of GHGs in the
atmosphere since 19th Century industrialisation.

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In 1992, as a result of the increasing scientific evidence of human interference with the
climate system, coupled with growing public concern over global environmental issues,
the United Nations Framework Convention on Climate Change (UNFCCC) was adopted as
a basis for a global response to the climate change problem. There are currently 195
Parties to the UNFCCC, 194 States and 1 Regional Economic Integration Organization
(the European Union) (see UNFCCC website for a full list of members).

Further information:

The UNFCCC offers a global regime to address climate change. However, as a framework
convention it only sets out basic obligations to address and combat climate change,
leaving specific binding commitments to additional legal instruments. For example, the
Convention is complemented by the Kyoto Protocol, which entered into force on 16
February 2005, and sets legally binding targets for industrialised countries to reduce
their greenhouse gas (GHG) emissions.

The major distinction between the Protocol and the Convention is that while the
Convention encouraged industrialised countries to stabilise GHG emissions, the Protocol
commits them to do so. Recognising that developed countries are principally responsible
for the current high levels of GHG emissions in the atmosphere as a result of more than
150 years of industrial activity, the Protocol places a heavier burden on them under the
principle of “common but differentiated responsibilities”.

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Decisions taken by Parties within the UNFCCC affect action to address climate change at
all levels, from the global to the national and local levels. However, the UNFCCC is far
more than a legal instrument. It is the single most important international forum for
addressing climate change, enabling exchange of information between Parties and
stakeholders, and promoting cooperation and partnerships. Negotiations are primarily
conducted between Parties, but they are often influenced by other actors. In particular,
the annual Conference of the Parties (COP) is attended by many representatives from
non-governmental organizations and receives high media attention worldwide.

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The 'tck tck tck' campaign was launched by the Global Humanitarian Forum in
partnership with a number of other NGOs. In the run up to the 2009 Climate Change
Conference in Copenhagen the initiative produced a
song which aimed at raising public awareness about the impact of climate change, and
to apply pressure on world leaders to reach a universal and ambitious deal in
Copenhagen. The specially re-recorded version of Midnight Oil's 'Beds are Burning'
features over sixty artists from around the world and illustrates the engagement of non-
governmental organizations and individuals in the international climate talks.

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Scientific findings as far back as the 1930s warned about the increase of CO2 emissions and that this
increase was a result of anthropogenic (human) activities. Scientists also warned that these increases in
CO2 emissions were contributing to a warming of the global atmosphere over and above the ‘natural’
greenhouse effect. In 1990, the IPCC First Assessment Report confirmed that human induced climate
change was real and was a threat. Consequently, the work of the Panel has influenced the climate change
negotiations process. Two years later, in 1992, the UN Framework Convention was adopted.

Further information:

During 1979, the First World Climate Conference was held in Geneva. This was the first time that scientific
evidence on the influence of human activities on the global climate was presented at an international
level. An increase in scientific evidence and growing public concern pushed the issue of human
interference with the climate system into the political agenda in the mid 1980s. Governments concluded
that there was a need for an impartial and independent body to address this issue, leading to the creation
of the Intergovernmental Panel on Climate Change (IPCC) in 1988.

In 1988 the UN General Assembly (UNGA) took up the issue of climate change for the first time and
adopted a resolution on the “Protection of global climate for present and future generations.” The IPCC
was mandated to compile a comprehensive review of the state of knowledge of climate change science
and to provide recommendations of the social and economic impacts of climate change. The IPCC was
also mandated to identify possible response strategies.

In 1990 the IPCC First Assessment Report was published and the IPCC and a ministerial declaration of the
Second World Climate Conference, called for a global treaty to address the problem of human induced
climate change. The UNGA formally launched negotiations on a framework convention that was
conducted by an intergovernmental negotiating committee (INC) meeting for the first time in 1991.
Fifteen months later the INC adopted the UNFCCC by consensus.

See the UNFCCC website for a brief overview of important COP decisions.

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This section presents the main objectives and guiding principles of the UNFCCC. It also
gives an overview of different Party Groups and their respective responsibilities and
commitment, as well as the main bodies and partners associated to the Convention.

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The ultimate objective of the UNFCCC is to prevent dangerous anthropogenic
interference with the climate system by stabilizing GHG concentrations in the
atmosphere. The Convention does not list the GHGs that need to be regulated. This list
can be found in the Kyoto Protocol. The Convention only makes reference to carbon
dioxide, CO2 and “other gases not controlled by the Montreal Protocol”.

The level of stabilization of GHGs, that would prevent dangerous anthropogenic

interference with the climate system, was also not determined at the time of negotiating
the Convention. This level was only determined in 2009 during COP 15, Copenhagen
when the Copenhagen Accord recognized “the scientific view that the increase in global
temperature should be below 2 degrees Celsius.”

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The Convention recognises that in the past different countries have emitted different
amounts of GHGs. The UNFCCC provides an interactive map that shows total GHG
emission for Annex I countries during different time periods and includes country
profiles. The World Research Institute has also created an interactive tool, CAIT, for
visualizing historic emissions and it includes data for all countries.

Note: “The maps displayed on the World Research Institute web site are for reference
only and do not imply any judgment on the legal status of any territory, or any
endorsement or acceptance of such boundaries”.

Further Information

Historic emissions are referred to in the Preamble of the Convention.

“Noting that the largest share of historical and current global emissions of greenhouse
gases has originated in developed countries, that per capita emissions in developing
countries are still relatively low and that the share of global emissions originating in
developing countries will grow to meet their social and development needs.” – UNFCCC
(1992)

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Mitigation and adaptation are the two broad responses adopted by the Convention to
address climate change. Mitigation of climate change and its impacts are the essence of
the Convention’s objective. Initially adaptation did not receive as much attention as
mitigation in the UNFCCC process, however since the adaptation of the Cancun
Adaptation Framework in 2010 adaptation objectives are set on par with mitigation.

Further information:

Mitigation is not defined in the Convention but it generally refers to implementing

actions aimed at reducing GHG emissions as well as preserving and enhancing sinks and
reservoirs of GHGs. Examples include using fossil fuels more efficiently for industrial
processes or electricity generation, switching to solar energy or wind power, improving
the insulation of buildings, and expanding forests and other "sinks" to remove greater
amounts of carbon dioxide from the atmosphere.

Adaptation is also not defined in the Convention but reference thereto is made in several
articles. The IPCC defines adaptation as the: “process of adjustment to actual or
expected climate and its effects. In human systems, adaptation seeks to moderate harm
or exploit beneficial opportunities. In natural systems, human intervention may facilitate
adjustment to expected climate and its effects.” (IPCC (2013). Fifth Assessment Report).

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Both the Convention and its Kyoto Protocol list a long number of principles on which their
drafting and functioning are based.

Further information:

The principle of equity guides Parties to protect the climate system for both present generations
(intra-generational equity) and future generations (inter-generational equity.) At the same time
the Convention puts forward the principle of common but differentiated responsibilities which
reflects the idea that Parties’ responsibility towards responding to climate change should be
shared on the basis of both the historical and current contributions to the problem, as well as
their capacity to respond to the problem. This principle has several applications in the
Convention and developed countries are to take the lead in responding to climate change.
Similarly, Article 3 sets out that full consideration should be given to the special needs and
circumstances of developing countries.

In accordance with the precautionary principle, the lack of scientific certainty should not prevent
Parties from taking cautionary measures if the likelihood of serious damage to the environment
exists.

Other guiding principles focus on the importance of the right to sustainable development and
the duty of Parties to the Convention to cooperate to promote a supportive and open
international economic system that will lead to sustainable growth and development in all
Parties, particularly developing country Parties.

UNEP & UNFCCC (2002). Climate Change Information Kit, p18

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Commitments between Parties are shared in accordance with their different levels of
economic development. The Convention’s annexes reflect the classification of countries
with their corresponding responsibilities.

Annex I countries are mostly developed countries, including the European Union.

Annex II countries are a subset of Annex I, and are the highly developed countries.
Countries with economies in transition (EITs) are not part of the Annex II grouping. These
are mostly countries of Eastern and Central Europe and the former Soviet Union, some
of whom are now members of the European Union (UNFCCC (2004). The First Ten Years,
p15).

Parties not included in Annex I nor II are categorized as Non-Annex I Parties and are
mostly developing countries.

UNFCCC website

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In the context of climate negotiations, Parties work through different Party groupings that best
represent their interests.

Developing countries, for example, generally work through the Group of 77 to establish common
negotiating positions.
Among the Non-Annex I Parties, 48 Parties are classified as Least Developed Countries (LDCs) by
the United Nations and are given special consideration under the Convention on account of their
limited capacity to respond to climate change and adapt to its adverse effects. The LDC group
has become increasingly active in the climate change process, often working together to defend
their particular interests, for example with regard to vulnerability and adaptation to climate
change.
The Alliance of Small Island States (AOSIS) is a coalition of some 43 low-lying and small island
countries, most of which are members of the G-77, that are particularly vulnerable to sea-level
rise.
The 28 members of the European Union meet in private to agree on common negotiating
positions. As a regional economic integration organization, the European Union itself can be, and
is, a Party to the Convention. However, it does not have a separate vote from its members.
The Umbrella Group is a loose coalition of non-EU developed countries which formed following
the adoption of the Kyoto Protocol. Although there is no formal list, the Group is usually made
up of Australia, Canada, Japan, New Zealand, Norway, the Russian Federation, Ukraine and the
US.
The Environmental Integrity Group (EIG), formed in 2000, comprises Mexico, Liechtenstein,
Monaco, the Republic of Korea and Switzerland.
UNFCCC website

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All Parties to the Convention accept a number of general commitments. Article 4 lists
commitments that all Parties need to honor, whilst taking into account their common
but differentiated responsibilities, as well as their specific national and regional
development priorities, objectives and circumstances (UNFCCC (2006). UNFCCC
Handbook, p23).

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The Convention places no legally binding emission reduction targets on any Parties.
However, Article 4.2 (b) provides a first quantified goal to Annex I Parties in that Parties
are to aim at returning GHG emissions to 1990 levels. Annex I Parties also have to
submit regular national communications, biennial reports (BR) and annual GHG
inventories to the Conference of the Parties (COP).

In addition to reducing their emissions Annex II Parties also have an obligation to provide
financial and technical resources to developing countries and in assisting particularly
vulnerable developing countries in meeting the costs of adaptation.

Non-Annex I Parties are also requested to report on their mitigation and adaption efforts
to the COP and submit national and biennial update reports (BUR). However, they have
fewer specific obligations in terms of timing and content of their submissions and can
rely on support from other Parties.

UNFCCC (2004). The First Ten Years, p15

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The COP is the supreme body of the Convention and is the highest decision-making
authority. The COP is also responsible for reviewing the implementation of the
Convention and any related legal instrument. It meets annually and also serves as the
Conference of the Parties serving as Meeting of the Parties to the Kyoto Protocol (CMP).
Two permanent Subsidiary Bodies (SBs) are established by the UNFCCC to support the
work of the COP and and the CMP (see following slides).

Further information:

The Climate Change Secretariat provides organisational support and technical expertise
to negotiations and facilitates the flow of information on the implementation of the
Convention.

Bodies under the Convention include: The Ad Hoc Working Group on the Paris
Agreement (APA), previously the Ad Hoc Working Group on the Durban Platform for
Enhanced Action (ADP) (see section 5), the Adaptation Committee (AC), the Standing
Committee on Finance (SCF), the Executive Committee of the Warsaw International
mechanism for Loss and Damage, the Paris Committee for Capacity Building and the
Technology Mechanism. Expert groups under the Convention are: Consultative Group of
Experts on National Communications from Parties not included in Annex I to the
Convention (CGE) and the Least Developed Country Expert Group (LEG). The Expert
Group on Technology Transfer was discontinued in 2011.

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The main function of the Subsidiary Body for Scientific and Technological Advice (SBTSA) is to
provide advice to the COP and the CMP on scientific and technology matters. The SBSTA plays an
important role as the link between the scientific information provided by expert sources such as
the IPCC on the one hand, and the policy-oriented needs of the COP on the other. It works
closely with the IPCC, sometimes requesting specific information or reports from it, and also
collaborates with other relevant international organizations that share the common objective of
sustainable development.

UNFCCC website
UNFCCC (2006): UNFCCC Handbook, p34

Further information:

Key areas of work for the SBSTA are:

• the impacts, vulnerability and adaptation to climate change;
• emissions from deforestation and forest degradation in developing countries;
• promoting the development and transfer of environmentally-friendly technologies; and
• conducting technical work to improve the guidelines for preparing and reviewing GHG
emission inventories from Annex I Parties.

The SBSTA carries out methodological work under the Convention and the Kyoto Protocol, and
promotes collaboration in the field of research and systematic observation of the climate
system.

The photo shows Richard Muyungi, ex SBSTA Chair, and Christiana Figueres, UNFCCC Executive
Secretary at COP 18 in Doha.

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The main function of the Subsidiary Body for Implementation (SBI) is to assist the COP
on issues related to the implementation of the Convention, including the examination of
communications and inventories submitted by the parties and the financial assistance to
non-Annex I Parties. The SBI is currently shifting towards monitoring, reviewing and
verifying (MRV) functions.

The SBSTA and SBI work on cross-cutting issues. These include inter alia capacity
building, the vulnerability of developing countries to climate change and response
measures, and the Kyoto Protocol mechanisms. The two bodies also deal jointly with key
political issues such as the review of the adequacy of the long-term global goal to keep
the increase in global average temperature below 2°C above pre-industrial levels.

UNFCCC website
UNFCCC (2006): UNFCCC Handbook, p35

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In order for the Convention to be able to take most appropriate actions to mitigate climate
change, it is essential that it has the most accurate, consistent and comparable data on GHG
emissions.

Therefore, one of the commitments of all Parties is to develop national GHGs inventories and to
submit regular reports to the COP on information related to implementation of the Convention.
They are called National Communications (NCs) and bring together all relevant information on
climate change, the GHG inventory, vulnerability and adaptation measures, mitigation measures,
capacity building, technology needs, and more. In many countries, the NCs and their process
have opened avenues to integrate climate change into development planning and policies, and
have identified concrete projects to reduce GHG emissions and to adapt to climate change,
among others. NCs of Annex I Parties are submitted approximately every 4 years. At COP 17,
Durban, it was decided that as of December 2014 Annex I Parties must also submit Biennial
Reports (BR) and Non-Annex I Parties are requested to submit Biennial Update Reports (BURs).

Further information:

NCs should be periodically updated and made available to the COP. Given the “common but
differentiated responsibilities” qualification, Annex I and Non-Annex I Parties have different time
schedules for submission of NC (every 4 years for Annex I countries and flexible for Non-Annex I
Parties).

GEF funding for Non-Annex I countries is available for both NCs and BURs as well as guidelines.
See details on the UNFCCC website.

Each national communication of an Annex I Party is subject to an in-depth review conducted by

an international team of experts and coordinated by the UNFCCC secretariat. National
communications from non-Annex I Parties are not subject to such a review, but they are
considered by an expert group set up by the SBI.

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The UNFCCC website includes a database of National Communications that provide a
good picture of the situation in different countries with regard to climate change
mitigation, adaptation, policy, technology, education and training, finance and more.

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Each Party to the UNFCCC must designate a national focal point. The national focal point
serves as the first point of contact within a country for UNFCCC communications. Some
Parties have also designated national focal points for Article 6 of the Convention which
deals with education, training and public awareness raising as called upon in the New
Delhi work programme.

UNFCCC (2006). UNFCCC Handbook, p130

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This section presents the Kyoto Protocol and its relevance. It explains which greenhouse
gases are regulated under the Protocol and outlines the two consequent mitigation
commitment periods (2008-2012 and 2013-2020). It finally provides a short introduction
to the mechanisms that were established under the Protocol to facilitate emission
reductions and the main characteristics of the accounting and compliance system.

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When the Parties adopted the UNFCCC they knew that the Convention commitments
would not be sufficient to mitigate climate change. A new round of negotiations, to
decide on a new instrument with stronger commitments, was launched under the Berlin
Mandate at COP1. This new instrument was to supplement and strengthen the
Convention. After 18 months of negotiations the Kyoto Protocol was adopted on 11
December 1997 and entered into force on 16 February 2005. There are currently 191
states and 1 regional economic integration organization that are party to the Kyoto
Protocol.

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The Protocol shares the ultimate objective and principles of the Convention but the
biggest distinction is that it sets out legally binding targets for Annex I Parties to limit or
reduce their GHG emissions in a given commitment period. The Kyoto Protocol also
provides support towards mitigation and adaptation in developing countries and
economies in transition.

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Annex A to the Kyoto Protocol sets out the regulated GHGs. The Doha Amendment
added a seventh gas to this list namely Nitrogen Trifluoride (NF3) that applies to the
second commitment period.

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Annex A also lists the sectors/sources where Annex I GHG may not exceed the
allowable level of emissions, including:
• Energy sector (sub-sectors: fuel combustion - energy industries, manufacturing
industries and construction, transport and other sectors; fugitive emissions from fuels
- solid fuels, oils and natural gas & other)
• Industrial processes (sub-sectors: mineral products, chemical industry, metal
production, other production, production of halocarbons and sulphur hexafluoride,
consumption of halocarbons and sulphur hexafluoride, other)
• Solvent and other product use
• Agriculture (sub-sectors: enteric fermentation, manure management, rice cultivation,
agricultural soils, prescribed burning of savannas, field burning of agricultural
residues, other)
• Waste (sub-sectors: solid waste disposal on land, wastewater handling, waste
incineration, other)

Emissions and removals from the Land Use, Land Use Change and Forestry
(LULUCF) are excluded since they are treated differently than emissions from the
other sectors.

UNITAR (2013). Climate Change Diplomacy: Negotiating Effectively under the UNFCCC,
Module II, p58

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During the first commitment period (2008-2012), Annex I Parties agreed to reduce their
GHG emissions by an average of at least 5 % below 1990 levels. Emissions of the
regulated gases included in Annex A are measured in CO2 equivalent emissions.

Annex B sets out specific emission targets (“quantified emissions limitation and
reduction obligation” – QELRO’s) for each Annex I Party. These emission targets are
formulated in percentage and are set relative to each party’s GHG emissions in a specific
reference year, called the base year. For most Parties it is 1990.

UNITAR (2013). Climate Change Diplomacy: Negotiating Effectively under the UNFCCC,
Module II, p58
UNFCCC (2008). Kyoto Protocol Reference Manual on Accounting of Emissions and
Assigned Amount, p13

Further information:

Annex I Parties have an allowable level of emissions called an “Assigned Amount” (AA).
The AA for the first commitment period is calculated by multiplying the Party’s base year
GHG emissions, by its emission target, by five (for the five years of the commitment
period). The AA can be denominated in individual units, called Assigned Amount Units
(AAU), each unit represents an allowance to emit one metric tonne of carbon dioxide
equivalent (tCO2eq).

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In December 2012 in Doha, Qatar, the "Doha
Amendment to the Kyoto Protocol" was adopted. The
amendment sets out a second commitment period
from 1 January 2013 to 31 December 2020. In this eight-
year period, Annex I Parties undertake to reduce GHG
emissions by at least 18% below 1990 levels. The
composition of Parties to the second commitment
period is not the same as the first commitment period.
Further information

Newcomers in the second commitment period are:

Belarus, Cyprus, Kazakhstan, and Malta. Canada, Japan,
New Zealand, and Russia have participated in Kyoto's
first commitment period but have not taken on new
targets in the second period. At the time of COP 21, 60
countries have ratified the Amendment. A total number
of 144 instruments of acceptance of the Amendment
are necessary for its entry into force.

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The three mechanisms for emission reductions established under the Kyoto Protocol
create flexibility for Annex I Parties to meet their obligations under the Protocol.

Joint Implementation (JI) allows Annex I Parties to implement emission reduction

projects in other Annex I Parties, and use the corresponding emission reduction units
(ERU) towards meeting their Kyoto target. This mechanism provides an alternative to
reducing emissions domestically.

The Clean Development Mechanism (CDM) allows Annex I Parties to invest in sustainable
development projects in Non-Annex I countries.

The third mechanism, Emission Trading, gives Annex I parties the possibility to acquire
carbon credits, AAUs, from other Annex I Parties that have spare AAUs because of
emission reductions beyond their Kyoto commitment. These mechanisms are continuing
under the second commitment period.

Further information:

At COP 18 (Doha, 2012) Parties decided that the Kyoto Protocol's Market Mechanisms
will continue during the second commitment period.

Surplus AAUs, also known as “hot air”, from the first commitment period may be
transferred to the second commitment period under the current Kyoto Protocol rules.
However during COP 18 steps were taken to limit the trade of “hot air” when countries
signed a declaration in which they explicitly declared that they will not trade surplus
AAUs and will place them in reserve.

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Accurate accounting of each Annex I Party emissions and AA is necessary to determine
whether a Party is in compliance with its Kyoto Protocol commitments. Two parallel
information streams contribute to the Kyoto Protocol accounting system: GHG
inventories and AA information.

While preparing their national GHG inventories, Parties are required to establish and
maintain a national system for the estimation of anthropogenic emissions by sources
and removals by sink. Parties are also required to establish a national registry for
tracking their holdings of and transactions of Kyoto units. GHG inventory data and AA
information are ultimately compiled into national reports and undergo strict review and
compliance procedures, whereafter it is recorded as official. A compliance committee is
established by the Kyoto Protocol to determine cases of non-compliance.

UNFCCC (2008). Kyoto Protocol Reference Manual on Accounting of Emissions and

Assigned Amount, p20

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Bodies under the Kyoto Protocol include:

• The Conference of the Parties (CMP) which is serving as the meeting of the Parties to
the Kyoto Protocol and which meets annually during the same time as the COP.
Convention Parties that are not Parties to the Protocol can only participate in the
CMP as observers.

• The Compliance Committee, which is made up of two branches: a facilitative branch

and an enforcement branch. As their names suggest, the facilitative branch aims to
provide advice and assistance to Parties in order to promote compliance, whereas the
enforcement branch has the responsibility to determine consequences for Parties not
meeting their commitments.

• The Executive Board of the Clean Development Mechanism (CDM-EB), the Joint
Implementation Supervisory Committee (JISC) and the Adaptation Fund Board
(AFB).

UNFCCC website

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This section provides an overview of main issues and negotiation streams under the
Convention including adaptation, mitigation, finance, technology and capacity building.

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Various frameworks and programs under the UNFCCC provide support to developing
countries to adapt to the impacts of climate change. One such programme is the Nairobi
Work Programme on adaptation and vulnerability (NWP) adopted in Montreal in 2005.
The NWP assists UNFCCC Parties, particularly developing countries, LDCs and SIDS to
improve their understanding and assessment of climate change impacts, vulnerability
and adaptation and to make informed decisions on suitable adaptation actions and
measures. By adopting the Cancun Adaptation Framework (CAF) in 2010 Parties affirmed
that adaptation needs the same support at mitigation. As part of the CAF, the Warsaw
Mechanism for Loss and Damage is the body under the Convention which aims to
strengthen knowledge, international cooperation and implementation of approaches to
reduce loss and damage associated with the adverse effects of climate change in
especially vulnerable developing countries. National Adaptation Programmes of Action
(NAPAs) support national adaptation planning in LDCs. National Adaptation Plans build
on NAPAs and enable Parties to identify and address medium- and long-term adaptation
needs.

For more detailed information about climate change adaptation see Module 3.

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COP 20 invited Parties to submit their NAPs to the platform hosted on the UNFCCC
website, NAP Central. It is a universally accessible web-based repository and hub for
NAPs and any document related to the process of formulation and implementation. It
promotes sharing of best practices and lessons learned.

Further Information

At COP 17, Parties established the NAP process with the aim to assist LDCs to reduce
their vulnerability to the impacts of climate change, by building adaptive capacity and
resilience, and by facilitating the integration of climate change adaptation into
development planning. The COP agreed that planning for adaptation at the country level
should be based on nationally identified priorities, and be coordinated with national
sustainable development objectives, plans, policies and programmes.

In order to provide support to the preparation of NAPs, the Least Developed Countries
Expert Group of the UNFCCC has developed technical guidelines that are framed around
the four elements of the NAP process: laying the groundwork and addressing gaps;
preparatory elements; implementation strategies; and reporting, monitoring and review.

UNFCCC/Least Developed Countries Expert Group (2012). National Adaptation Plans.

Technical Guidelines for the National Adaptation
Plan Process

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Under the Convention, mitigation covers a range of issues and work streams. Reducing
Emissions from Deforestation and Forest Degradation (REDD) for instance offers
incentives for developing countries to reduce emissions from forested lands and to
invest in low-carbon development while enhancing livelihoods. REDD+ expands the
scope of REDD and includes the role of conservation, sustainable forest management
and enhancement of forest carbon stocks. Land Use, Land-Use Change and Forestry
(LULUCF) is an emission sector under the Kyoto Protocol. It covers emissions and
removals of GHG resulting from direct human-induced land use, land-use change and
forestry activities in developed countries. Nationally Appropriate Mitigation Actions
(NAMAs) are voluntary policies and actions to reduce GHG emissions, undertaken by
developing countries. Under the Convention, Parties have agreed to submit to the
Conference of the Parties (COP) national reports on implementation of the Convention
(see also section 2 of this Module).

For more detailed information about climate change mitigation see Module 4.

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The REDD Web Platform hosted by the UNFCCC Secretariat provides information relating
to reducing emissions from deforestation and forest degradation in developing
countries. Topics covered include:

• Capacity building
• Demonstration activities
• Drivers of deforestation and forest degradation
• Financing
• Forest monitoring
• Forest reference levels & forest reference emission levels
• IPCC guidance
• Methodologies & tools
• Remote sensing
• Safeguards

For more details on REDD+, do please see the REDD+ e-Academy which is also available
on the UN CC:e-Learn platform.

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Developing countries need financial assistance to support both their mitigation and
adaptation activities. At COP 15 (Copenhagen 2009) developed Parties pledged to
provide new and additional resources, approaching USD 30 billion for the period 2010-
2012 (with balanced allocation between mitigation and adaptation). This collective
commitment is known as ‘fast-start finance’. Long-term finance is referring to the
commitment to scale-up climate finance to USD 100 billion per year by 2020 from
public, private and alternative sources.

For more detailed information about climate change finance see Module 5.

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The Finance Portal for Climate Change presents information on financial resources that
have been made available to Non-Annex I Parties to the UNFCCC, including:
• Information communicated by Annex II Parties on the provision of financial resources
• Information submitted by developed country Parties on the resources provided to
achieve their commitments, including ways in which developing country Parties
access these resources
• Information on financial flows that have been channelled, mobilized and leveraged by
the GEF in its role as an operating entity of the financial mechanism of the UNFCCC

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The Convention provides for technology transfer from developed countries to
developing countries to support mitigation and adaptation action.

The Poznan Strategic Programme on Technology Transfer was adopted at COP 14

(Poznan 2008) with the objective to assist developing countries in adopting
environmentally sound technologies.

At COP 16 (Cancun, 2010) Parties to the Convention established the Technology

Mechanism to facilitate the implementation of enhanced action on technology
development and transfer. Under guidance of the COP, a Technology Executive
Committee and a Climate Technology Center and Network (CTCN) are mandated to
facilitate the implementation of the Technology Mechanism. The Technology
Information Clearing House, TT: Clear is a technology information system that provides
a range of information including an inventory of green technologies, technology
development and transfer projects.

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The Climate Technology Centre and Network (CTCN) is the operational arm of the
UNFCCC Technology Mechanism. Its mission is:

• To build or strengthen the capacity of developing countries to identify technology

needs
• To facilitate the preparation and implementation of technology projects and
strategies to support action on mitigation and adaptation
• To enhance low-emission and climate-resilient development

The CTCN is hosted and managed by UNEP in collaboration with the UN Industrial
Development Organization (UNIDO) and with the support of 11 Centers of Excellence
located in developing and developed countries. The CTCN is located in Copenhagen,
Denmark.

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The UNFCCC process looks at ways to support developing countries and countries with
EIT in developing their adaptation and mitigation capacities.

The Capacity Building Frameworks, adopted at COP 7 (Marrakech, 2001), provide a

basis for action on capacity building-related activities. At COP 17 (Durban, 2011), Parties
established the Durban Forum on Capacity-Building to provide a place where
representatives from Parties, UN organizations, intergovernmental and non-
governmental organizations, research, academia and the private sector can share ideas,
experiences, lessons learned and good practices with regard to capacity-building
activities in developing countries.

In parallel to the capacity building process, negotiations have taken place under Article 6
of the Convention which deals with education training and public awareness-raising. The
Doha Work Programme on Article 6 was adopted at COP 18 (Doha, 2012). It provides a
flexible framework for country-driven action on Article 6. The Capacity Building Portal is
an interactive map of capacity-building activities worldwide.

UNFCCC website

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The video highlights the important role of education in addressing climate change.

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This section discusses how the negotiations have evolved over the past years (from a
two-track to a one-track approach) and highlights some of the key issues relevant for a
future climate change regime.

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At COP 13/CMP 3 (Bali, 2007) a big step was taken in international climate change
negotiations. The Bali Road Map was adopted that included a “two track-approach”
under both the Convention and the Kyoto Protocol.

The Ad Hoc Working Group on Long-term Cooperative Action under the Convention
(AWG-LCA) worked towards a broader “agreed outcome” that will include the US and
developing parties to ensure the full, effective and sustained implementation of the
Convention. The outcomes of its work include the Cancun Adaptation Framework, the
Technology Mechanism and the Durban Forum.

The Ad Hoc Working Group on Further Commitments for Annex I Parties under the
Kyoto Protocol (AWG-KP) was established in 2005 to negotiate a second commitment
period for developed countries Parties to the Kyoto Protocol. Its work concluded with
the adoption of the Doha Amendment in 2012.

Negotiations proceeded until 2012 within this “two track-approach.”

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At COP 15 (Copenhagen, 2009), Parties noted, but did not formally adopt, the
Copenhagen Accord. The Accord recognized “the scientific view that the increase in
global temperature should be below 2 degrees Celsius”. Following the Copenhagen
Accord and during 2010, many countries submitted voluntary mitigation pledges. The
Accord also committed developed countries to provide 30 billion US dollar fast-start
financing for the period from 2010 to 2012, and 100 billion US dollar per year by 2020.
The Cancun Agreements were adopted in 2010 at COP 16 held in Cancun. Amongst
other things, this set of agreements formalized the pledges made by Annex I Parties in
the Copenhagen Accord. Governments also decided to establish the Green Climate Fund
in order to scale up the provision of long-term financing for developing countries. It also
gave rise to the establishment of the Cancun Adaptation Framework and Adaptation
Committee as well as the establishment of a Technology Mechanism.

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Both the AWG-LCA and the AWG-KP concluded their work in 2012, since it was decided
at COP 17 (Durban, 2011) that negotiations towards a new regime would be undertaken
through one single track. A new subsidiary body was established, the Ad Hoc Working
Group on the Durban Platform for Enhanced Actions (AWG-ADP).

UNDP (2012). Taking Stock of Durban: Review of Key Outcomes and the Road Ahead, p7

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The ADP created a new platform that lead negotiations from 2013 onwards under a
single track. The ADP was mandated to develop a post 2020 climate change regime.
Under the UNFCCC the ADP is to develop either a “protocol, another legal instrument or
agreed outcome with legal force” that is applicable to all Parties. The ADP commenced
its work in 2012 and completed it work in 2015 with the adoption of the Paris
Agreement. As of December 2015, the ADP becomes the APA, or the Ad Hoc Working
Group on the Paris Agreement. APA will be responsible for the processes toward the
entry into force of the Paris Agreement.

Further Information

The Paris Agreement will enter into force by 2020 in minimum 55 Parties constituting
55% of the total global GHG emissions have ratified it.

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The ADP was tasked with two workstreams: under workstream 1 the ADP considered
options for a global climate change agreement to enter into force by 2020. It developed
the key characteristics and features of the new agreement be it a protocol, other legal
instrument or agreed outcome with legal force that is applicable to all Parties. Under
workstream 2 the ADP worked on enhancing mitigation ambitions before 2020 in order
to speed up the response to climate change. Parties at COP 17 noted with grave concern
the significant gap between Parties’ mitigation pledges until 2020 and the emissions
reductions needed to keep the increase in global average temperature below 2 °C or 1.5
°C above pre-industrial levels. The aim of workstream 2 was thus to identify immediate
steps to close the emission gap, while waiting for the new workstream 1 agreement to
be decided on.

Under the negotiations as part of the ADP, COP 19 invited Parties to prepare and submit
intended nationally determined contributions (INDCs) as a method to achieve the
objective of the Convention in a collaborative manner.

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Progress was made at COP 19 (Warsaw, 2013) in advancing the negotiations towards a post 2015
agreement. “Warsaw has set a pathway for governments to work on a draft text of a new universal
climate agreement so it appears on the table at the next UN Climate change conference in Peru. This is an
essential step to reach a final agreement in Paris, in 2015,” said Marcin Korolec, President of COP 19.

Further information:

The conference also decided to establish an international mechanism to provide most vulnerable
populations with better protection against loss and damage caused by extreme weather events and slow
onset events such as rising sea levels. Detailed work on the so-called “Warsaw international mechanism
for loss and damage” was scheduled to begin in 2014.

The agreements also included a significant set of decisions on ways to help developing countries reduce
greenhouse gas emissions from deforestation and the degradation of forests, which account for around
one fifth of all human-generated emissions. The Warsaw Framework for REDD+ is backed by pledges of
280 million dollars financing from the US, Norway and the UK.

Governments completed work on the Climate Technology Centre and Network (CTCN) so that it can
immediately respond to requests from developing countries for advice and assistance on the transfer of
technology. The CTCN is open for business and is encouraging developing countries to set up focal points
to accelerate the transfer of technology.

During the Conference, UN Secretary General Ban Ki-Moon reiterated his invitation to all governments,
and leaders from finance, business, local government and civil society, to a climate summit in New York on
23 September 2014. It was meant to be a solutions summit, complementing the UNFCCC negotiations.

UNFCCC (2013). Presse Release: UN Climate Change Conference in Warsaw Keeps Governments on a
Track towards 2015
Climate Agreement

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Just before the 2013 Climate Conference in Warsaw, the Philippines were hit by an
exceptionally powerful tropical cyclone (typhoon Haiyan). The video shows the
emotional statement by a climate negotiator from the island nation who went on hunger
strike during COP 19.

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This summit, which took place on 23 September 2014 in New York, was organized at the
request of the UN Secretary General, Ban Ki-Moon, in order to “serve as a public
platform for leaders at the highest level – all UN Member States, as well as finance,
business, civil society and local leaders from public and private sectors – to catalyze
ambitious action on the ground to reduce emissions and strengthen climate resilience
and mobilize political will for an ambitious global agreement by 2015 that limits the
world to a less than 2-degree Celsius rise in global temperature.”

Over 100 heads of state, as well as 800 leaders from business, finance and civil society
attended the event. One of the main outcomes included the New York Declaration on
Forests, launched and supported by more than 150 partners, including 32 government,
20 sub-national governments, 40 companies, 16 indigenous peoples groups, and 49 NGO
and civil society groups, aims to halve the loss of natural forests globally by 2020, and
strive to end it by 2030.

Source: UN Climate Summit 2014 website

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COP20 in Lima was a further important step forward towards an agreement in 2015. “Here in Lima, governments have left with a far
clearer vision of what the draft Paris agreement will look like as we head into 2015 and the next round of negotiations in Geneva”,
said Manuel Pulgar-Vidal, the Minister of the Environment of Peru and the COP President. The main document emanating from the
conference is the Lima Call for Climate Action.

Further information:

During the conference, Parties elaborated the elements of the new agreement to be discussed at COP 21 in Paris, and to the ground
rules on how all countries can submit contributions to the new agreement during the first quarter of 2015. These Intended
Nationally Determined Contributions (INDCs) were set at the core of climate action post 2020 when the new agreement is set to
come into effect.

The Lima Ministerial Declaration on Education and Awareness-raising, which aims at "developing education strategies that
incorporate the issue of climate change in curricula, while also raising awareness on climate change in the design and
implementation of national development and climate change strategies", was announced.

Further pledges were made to the Green Climate Fund in Lima, which brought the total sum pledged to the Green Climate Fund to
close to USD 10.2 billion.

The government of Peru launched a new portal, with support from the UNFCCC, to increase the visibility of the wealth of climate
action among cities, regions, companies and investors, including those under international cooperative initiatives. The Nazca Climate
Action Portal is designed to inject additional momentum into the process through to Paris by demonstrating the wealth of non-state
action.

Additionally, 17 developed countries were assessed by other governments or Parties of the Convention in terms of their economy-
wide emissions reduction targets, through the first ever Multilateral Assessment (MA), a historic milestone in the implementation of
the Measurement, Reporting and Verification of emission reductions. The assessments showed that "the number of success stories
and best practices in policy and technology innovation alongside nations decoupling emissions from economic growth is increasing".

The Climate and Technology reported on the requests it had received, and the establishment of a link between the Green Climate
Fund and the UNFCCC Finance mechanism was discussed in order to strengthen the UNFCCC's Technology.

The Lima conference also agreed a Lima Work Programme on Gender to advance gender balance and to promote gender sensitivity
in developing and implementing climate policy.

UNFCCC (2014). Presse Release: Lima Call for Climate Action Puts World on Track to Paris 2015

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On 12 December 2015, the COP adopted the Paris Agreement through decision 1/CP.21.
The text of the Paris Agreement is contained in the annex to decision 1/CP.21. The
Agreement will enter into force 30 days after at least 55 Parties, accounting in total for
at least an estimated 55 % of the total global greenhouse gas emissions, have deposited
their instruments of ratification, acceptance, approval or accession with the Depositary,
no later than 2017. The main purpose of the Agreement as stated in Article 2 is to keep
global average temperature change under 2 degrees and even 1.5 degrees Celsius. The
framework for reaching this goal is through nationally determined contributions (NDCs)
which each Party will communicate and strengthen over time. The Agreement also aims
to increase Parties' ability to adapt to climate change and make finance flows consistent
with a climate-resilient development.

For more details see UNFCCC website.

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The Paris Agreement included a wide range of elements contributing to a comprehensive universal agreement on climate change.

Further Information

Mitigation
The Paris Agreement calls for peaking of GHG emissions as soon as possible and urges Parties to formulate their NDCs to reflect the “highest
ambition”. The UNFCCC will maintain a public registry of the contributions which will be updated and enhanced every five years. (mainly Article 4)

Adaptation
The Paris Agreement echoes the Cancun Adaptation Framework principles in its resolve to “establish the global goal on adaptation of enhancing
adaptive capacity, strengthening resilience and reducing vulnerability to climate change”. It notes the synergy between mitigation and adaptation
where mitigation actions can reduce the need for adaptation efforts and establishes a process whereby each Party will submit regularly an Adaptation
Communication. (Article 7)

Loss and Damage

In Article 8 of the Paris Agreement, Parties recognize the importance “averting, minimizing and addressing loss and damage associated with the
adverse effects of climate change ” and refer to the Warsaw International Mechanism for Loss and Damage.

Finance
Article 9 of the Paris Agreement states that developed countries will continue to take the lead in the provision of financial resources for climate change
mitigation and adaptation efforts, aiming at achieving balance of the resource flows between the two. In addition, the Parties are required to report on
the planned and disbursed financial support every two years.

Technology Development and Transfer

The Agreement creates a new framework under the existing Technology Mechanism (see Section 4) which will strengthen cooperative action on this
point and will be supported by the Financial mechanism of the Convention. (Article 10)

Capacity Building
In Article 10 of the Agreement the COP recognizes the role of capacity-building, especially in developing, least developed and especially vulnerable
Parties. In the COP 20 Decision launches two initiatives to support capacity building efforts. First, the Paris Committee on Capacity-Building which will
address capacity-building gaps and needs in developing country Parties and manage a 2016-2020 work plan to enhance synergies and avoid duplication
of efforts. Second, the Decision launches the Capacity-Building Initiative for Transparency to build institutional and technical capacity among
developing country Parties.

Transparency of Action and Support

The Paris Agreement establishes an enhanced transparency framework for action and support. In terms of action, the framework aims to provide
clarity on the progress made toward the objectives of the Agreement including the status of NDCs, adaptation actions, good practices, etc. In terms of
support, the framework aims to provide an overview of the financial support. (Article 13)

Global Stocktake
Article 14 of the Paris Agreement establishes a key mechanism for the implementation of its provisions. The Global Stocktake will assess the collective
progress toward the main objectives of the Agreement. The first stocktake will be undertaken by COP23 and the procedure will be repeated every five
years onwards. The results will inform the NDCs.

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Key issues that need to be resolved include narrowing the gap between current
commitment and the emissions reductions needed to keep the increase of temperature
below 2 °C. The form of the new legal framework that needs to be implemented by
2020. Other key issues include inter alia: the mobilization of sufficient finance for
adaptation in developing countries, and the up-scaling of capacity development support
for developing countries.

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