Climate Change Diplomacy - Module 2 - Final

CLIMATE CHANGE DIPLOMACY:
NEGOTIATING EFFECTIVELY UNDER THE UNFCCC
Module II:
INTRODUCTION TO CLIMATE
CHANGE DIPLOMACY
Tianjin, China. October 2010
Source: http://unfccc.int/2860.php
Climate Change Diplomacy:

Negotiating Effectively under the UNFCCC
___________________________________________________________________________________________________
United Nations Institute for Training and Research (UNITAR)
Copyright 2014 MDP/UNITAR
http://www.unitar.org/mdp

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___________________________________________________________________________________________________

Contents
Lesson 1: The need for an international climate change agreement
1. Introduction
2. Equity issues in international climate change policy
3. The need for global cooperation and burden sharing
Lesson 2: History and Development of the United Nations Convention on

Climate Change (UNFCCC) and the Kyoto Protocol
1.
Introduction
2.
History and Development under the UNFCCC and Kyoto Protocol

2.1 Background to the climate negotiations
2.2 The UNFCCC and its developments
3.
Legal Issues: Ratification status of the UNFCCC and Kyoto Protocol
Lesson 3:
Objectives and Principles under the UNFCCC and the Kyoto
Protocol
1.
Objectives of the UNFCCC and Kyoto Protocol
2.
Principles of the UNFCCC and Kyoto Protocol

2.1
Equity and Common but Differentiated Responsibilities
2.2
Precautionary Principle
2.3
Promote Sustainable Development
2.4
Trade related measures
Lesson 4: Parties, Groups and Observer States to the UNFCCC and Kyoto
Protocol
1.
Becoming a Party to the UNFCCC
2.
Who are the Parties to the UNFCCC and Kyoto Protocol?

2.1
Annex-I Parties
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3.
4.
2.2
Annex-II Parties
2.3
Non-Annex-I Parties
What are the Parties commitments?

3.1
Under the Convention
3.2
Under the Protocol
Who are the Party Delegations and Regional Groups?

4.1
Coordinated Groups:
1. G77 and China
2. AOSIS
3. SIDS
4. JUSSCANNZ/Umbrella Group
5. EU
6. OPEC
7. African Group
8. Environmental Integrity Group (EIG)
9. Group of Least Developed Countries (LDCs)
10. BASIC Countries
11. ALBA Countries
4.2
Other groups:
1.
Group
of
Mountain
Landlocked
Developing
Countries
(MLDC)
2. CACAM
3. Coalition for Rainforest Nations
Lesson 5:
Institutional Arrangements and Practice of the UNFCCC and
Kyoto Protocol
1. Introduction
2. The Conference of the Parties (COP)
2.1 Responsibilities
2.2 COP Meetings
2.3 Plenary sessions of the COP
2.4 COP President
2.5 COP Bureau
3. Subsidiary Bodies (SBs)
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3.1 Division of responsibilities between the SBSTA and SBI

3.2 Subsidiary Body for Scientific and Technological Advice (SBSTA)
3.3 Subsidiary Body for Implementation (SBI)
4. The Secretariat
5. Limited-Membership Bodies
5.1 Expert Group on Technology Transfer (EGTT)
5.2 Consultative Group of Experts on National Communications from
Non-Annex I Parties (CGE)
5.3 Least Developed Countries Expert Group (LEG)
5.4 Adaptation Committee
5.5 Standing Committee on Finance
5.6 Technology Executive Committee
6. Constituted Bodies under the Kyoto Protocol
6.1 Clean Development Mechanism (CDM) Executive Board
6.2 Joint Implementation Supervisory Committee
6.3 Compliance Committee
6.4 Article 6 Supervisory Committee
6.5 Adaptation Fund Board
Lesson 6: Cooperation and Participation of Organisations and Observers

1. Introduction
2. Cooperation with the United Nations
3. Cooperation with the Intergovernmental Panel on Climate Change (IPCC)
3.1.
Structure
3.2.
IPCC Assessment reports and other publications
4. Global Environment Facility (GEF)

5. Participation of observer organisations and the media
5.1.
Participation and rights of observers
5.2.
IGOs
5.3.
NGOs
5.4.
Participation of the Media
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Key to Icons
Web link
Video clip or webcast
Questions
Document to download
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Objectives
Participants will be able to: appreciate and understand the
need for an international climate change policy framework;
recall the history and developments of the United Nations
Framework Convention on Climate Change (UNFCCC) and the
Kyoto Protocol; identify the Parties and groups of Parties to
the UNFCCC and Kyoto Protocol, including their respective
commitments and negotiation positions; and identify the roles
and rules of procedures of the institutions and bodies under the UNFCCC and
Kyoto Protocol.
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Lesson 1: The need for an international

climate change agreement
Learning Objectives Lesson 1: The learner will be able to recognise

the need for an international climate change agreement that addresses
the urgency of addressing climate change at a global level cooperatively
and collaboratively among countries.
1. Introduction
As we learned in Module I, climate change and global warming are indisputable
realities of our modern world. The industrial revolution experienced during the
last century and a half, followed by a sharp and steady increase in production,
consumption and global trade, have led to the highest levels of greenhouse gas
(GHG) emissions in our planets history. The direct result is a change to the
global atmosphere and consequent changes to the earths natural environment
and climate system. Humans depend upon nature for air, water, and food to
survive, thus this change results in increasing insecurity for human livelihoods
and well-being.
The predicted global mean temperature increase of more than 2C from preindustrial times by the end of the century is likely to disrupt the climate and
the environment so severely that massive dislocation of populations and global
conflict and hardships are expected.
It is critical to understand the direct relationship between human activity and
the increasing levels of GHG emissions. It is equally important to understand
that strategic and concerted changes to long-time behavioural patterns can
shift the current trend and avoid the worst impacts of climate change. These
behavioural shifts are particularly difficult because they involve changes across
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all sectors of human activity and in many fundamental aspects of daily human
life.
Moreover, each country in the world generates different levels of GHG
emissions, historically and actually, from different kinds of activities. Thus, a
global approach to a global problem involves careful consideration of the
differences in contribution, in circumstance, and in capacity to make these
changes.
A vast amount of information on the sectors and specific activities that produce
GHG emissions is available on the United Nations Framework Convention for
Climate Change, the United Nations Environmental Programme, and on
government websites worldwide. Take a moment to familiarise yourself with
the sources and with your own countrys particular circumstance.
As covered in Module I, the main greenhouse gases are:
Direct GHGs:
CO2 - Carbon dioxide
CH4 - Methane
N2O - Nitrous oxide
PFCs - Perfluorocarbons
HFCs - Hydrofluorocarbons
SF6 - Sulphur hexafluoride
NF3 - Nitrogen trifluoride
Indirect GHGs:
SO2 Sulfur Dioxide
NOx - Nitrous Oxide
CO Carbon Monoxide
NMVOC - non-methane volatile organic compound
The gases come from a variety of naturally occurring sources such as coal,
natural gas, oil, water and soil, and a few that are man-made. Their
transference into the atmosphere occurs by natural and human process, such
as evaporation, degradation, decomposition, combustion, and release. The
anthropogenic, or human-created, sectors that produce GHG emissions are:
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10

energy, agriculture, land use change, manufacturing, transport, tourism,

buildings, and waste.
LINKS:
Chart of compiled GHG sources worldwide
http://www.ecofys.com/files/files/asn-ecofys-2013-world-ghg-emissions-flowchart-2010.pdf
UNFCCC GHG Data
http://unfccc.int/ghg_data/ghg_data_unfccc/items/4146.php
2. Equity Issues in International Climate Change Policy

A particularly important issue to understand in the development of global
climate rule-making is the accumulation of emissions emitted over time. Gases
emitted today can remain in the atmosphere for different amounts of time,
ranging from a few years to thousands of years. Once in the atmosphere,
gases mix such that the amount measured in any one place is roughly the
same all over the world, regardless of the source of the emissions. Hence,
emissions from Buenos Aires, London, Beijing, or New York today, or during
the past 100 years, are all responsible for climate change elsewhere on the
planet.
A small handful of countries underwent a vigorous industrial revolution over
the past 150 years. Much of emissions over this period are still in the
atmosphere and contribute, as such, proportionately to the current challenge
of climate change. Currently, another group of countries are becoming
increasingly industrialised and thus their actual contribution to climate change
is much higher than a decade or more ago. When we combine these two
realities with the additional consideration that most of the products consumed
in the world today are produced in a different country of origin, it is extremely
difficult to determine who has responsibility for what amount of GHG
emissions, and therefore what their contribution to the solution should legally
be. Moreover, the countries and communities most vulnerable to the impacts
of climate change are, for the most part, those who have contributed the least.
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11

For the most part, these are Least Developed Countries and other Developing
Countries who are grappling with major economic and social difficulties, which
are further aggravated by climate change.
In the context of designing a global solution to the challenges of climate
change, and defining what rules and responsibilities are applicable to which
countries, this question of equity is critical. On the one hand, serious measures
are required of the most developed countries to curb their greenhouse gas
emissions measures which require investment and resources. On the other
hand, elevated levels of financing to help developing countries avoid the worst
impacts of climate change, whilst continuing to strengthen their own
economies and societies, are also needed.
Links:
Historical emissions data - http://www.tsp-data-portal.org/Historical-
GHG-emissions-by-Gas#tspQvChart
Source: http://www.unep.org/wed/2003/photogallery/images/0016617_JPG.jpg
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There are sharp differences across regions. The rapid growth of China, India
and others is already making them important emitters; China has overtaken
the USA to become the worlds largest producer of greenhouse gases.
Indonesia and Brazil1 are the third and fourth largest emitters, due to rapid
rates of deforestation (Stern, 2009).
New studies confirm that Africa is the most vulnerable continent because of
the range of projected impacts, multiple stresses and low capacity to adapt. At
the same time, Small Island Developing States and countries with large coastal
populations, as well as Asian mega-deltas, face some of the most immediate
impacts of sea-level rise and changing weather patterns.
Although there was an overall increase in global greenhouse gases emissions
during the period of 1970-2010, between 1990 and 2000 greenhouse-gas
emissions
of
industrialised
countries
actually
declined
by
5.6
percent
(according to the UNFCCC, 2010) due to circumstances related to regional and

global financial difficulties. In particular, a steep drop in economic output of
Eastern Europe and the former Soviet Union during their shift from centrally
planned to market economies resulted in emissions in these countries falling by
37 percent in this time. This decline more than compensated for an 8.2 percent
increase in emissions among developed countries elsewhere. On the other
hand, it is worthwhile noting a recent increased growth rate of greenhouse gas
emissions in developing countries this is especially true of major and growing
economies in particular (such as China etc.) as a result of improvements in
their economies and increased exports.
3. The need for global cooperation

The United Nations Framework Convention on Climate Change (UNFCCC) and
its Kyoto Protocol were designed by member States to cooperatively address
the issue of climate change. Over the 20 years since the signing of the
1
In 2010, Brazil had decreased its emissions by 10% compared to levels in 1990; this was mainly due to
decreases in deforestation rates. For more information consult (in Portuguese):
http://www.mct.gov.br/upd_blob/0226/226591.pdf
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13

UNFCCC, this agreement and its Protocol have created institutions, funds,
programmes, and capacity building programmes worldwide. Most importantly,
they provide a space and agreed framework for global dialogue, exchange of
ideas, and generation of solutions. These agreements together have not,
however, sufficiently generated mitigation and adaptation actions, which is the
current focus of the negotiations at hand.
While
some
argue
that
developed
countries
have
major
historical
responsibility, there are others who argue that the solution to climate change
lies in the developing countries. The economist, Nicholas Stern (The Stern
Report, 2009), explains that, the developed countries constitute less than one
six of total population, and by 2050 they will only be one in nine. The large
developing countries will be central to the design and execution of international
action to protect their future.
Cooperation by all nations is essential. The global nature of the sources and
impact, the fact that as countries develop their potential emissions also
increase, and the unbalanced negative impacts on the most poor and
vulnerable, requires full cooperation by all countries in order to achieve
effective and enduring results. Subsequently, all nations will need to reorient
their economies and practices, both to reduce their carbon emissions, and to
strengthen resilience to the inevitable impacts of climate change.
Scientific, economic, and social research indicates that it is possible, with an
investment of 1% of global GDP, to reverse the escalating trend of climate
change and thereby the worst potential impacts (See Stern Report, 2009 and
IPCC 4th Assessment Report, 2007). While negotiations advance every year,
and countries are taking some action locally to shift to a low-carbon path, the
actual results fall far below what is necessary to avoid catastrophic climate
change levels. To understand why countries are dragging their feet and
seemingly unwilling to make the changes and investments necessary we must
understand a little about the geopolitics that run the world.
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14

Green
Economy:
success
stories
from
developing
countries.
http://www.unep.org/pdf/greeneconomy_successstories.pdf
Follow
the
link
below
for
videos
highlighting
the
immanent need to tackle global climate change:

http://www.unep.org/newscentre/multimedia/default.asp?ct=anim
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15

Lesson 2: History and Development of the United

Nations Framework Convention on Climate
Change (UNFCCC) and the Kyoto Protocol
Learning Objective Lesson 2:

The learner will gain an understanding of the development and history
of the UNFCCC and Kyoto Protocol as well as the climate change
negotiations to date.
1. Introduction
http://unfccc.int/essential_background/bare_essentials/items/
6145.php
The early 1990s marked an era of heightened global concern for the
environment. In 1992, during the Rio Earth Summit, which was orchestrated
by a number of organisations, countries, individuals and in particular the
United Nations, countries adopted a series of environmental agreements
covering topics that spanned biodiversity, desertification, the ozone layer,
chemicals, and climate change. Scientists had been discussing the climate
change question for decades and, through a series of preparatory meetings
spanning nearly ten years, brought a draft text to Rio for adoption.
2. History and Development under the UNFCCC and Kyoto

Protocol
2.1. Background to the climate negotiations
In 1979, the First World Climate Conference identified climate change as an
urgent world problem and issued a declaration calling on governments to
anticipate and guard against potential climate hazards. A World Climate
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16

Programme was set up, steered by the World Meteorological Organisation

(WMO),
the
United
Nations
Environment
Programme
(UNEP)
and
the
International Council of Scientific Unions (ICSU). Several intergovernmental

conferences on climate change followed.
In 1988, the Toronto Conference on the Changing Atmosphere advanced
public debate when more than 340 participants from 46 countries all
recommended developing a comprehensive global framework convention to
protect the atmosphere. Following a proposal by Malta, the United Nations
General Assembly addressed climate change for the first time by adopting
Resolution 43/53. This recognised that climate change is a common concern
of mankind, since climate is an essential condition which sustains life on
earth, and determined that necessary and timely action should be taken to
deal with climate change within a global framework
The WMO and UNEP established the Intergovernmental Panel on Climate
Change, (IPCC), to assess the magnitude and timing of changes, estimate their
impacts and present strategies for how to respond.
In 1990, the IPCC published the First Assessment
Report on the state of the global climate, which
had a potent effect on policy makers and on public
opinion. It became the main basis for negotiations
under the United Nations General Assembly on a
climate change convention, beginning in late 1990.
The Second World Climate Conference met in
Geneva in November, and, unlike the 1979 Climate
Conference,
included
ministers
as
well
scientists.
IPCC 1990 First Assessment Report: Scientific Assessment of Climate Change
Source: http://www.ipcc.ch/publications_and_data/publications_and_data_reports.htm
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17
as

On 21 December, the United Nations General Assembly established, by

Resolution 45/212, the Intergovernmental Negotiating Committee for a
Framework
Convention
on
Climate
Change
(INC)
as
single
intergovernmental negotiating process under the auspices of the General

Assembly. The INC met for five sessions between February 1991 and May
1992.
In 1992, the INC finalised the Convention text in just 15 months, in time for
its adoption in New York on 9 May and its full launch in June at the Rio de
Janeiro Earth Summit, where 154 states signed it.
Thus, in 1992, as a result of 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 the basis for a global response to
the climate change problem. Today, with 195 Parties, the Convention enjoys
near-universal
membership
with
the
ultimate
objective
of
"stabilising
greenhouse gas concentrations in the atmosphere at a level that will prevent

dangerous anthropogenic interference with the climate system". Since the
Conventions entry into force, Parties have met annually at the Conference of
the Parties (COP) to monitor its implementation and continue talks (see
detailed description of COP in lesson 5).
The figure below provides an overview of the timeline of the climate change
negotiations until 2009.
Figure 1: Timeline of climate change negotiations. Source: UNEP/Grid Arendal,2009,ClimateinPeril.
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2.2 The UNFCCC and its developments2

The United Nations Framework Convention on Climate Change (UNFCCC) in
1992 was the first multilateral treaty setting out major principles and
obligations relating to climate change.
During the following years, countries worked on a detailed Protocol that would
put the main principles and agreements into action. The Kyoto Protocol,
(KP), was adopted in Kyoto, Japan, on 11 December 1997 and entered into
force on 16 February 2005. It is an international agreement that forms part
and parcel of the United Nations Framework Convention on Climate Change.
In 1996, the IPCC finalised its Second Assessment Report in time for COP 2 in
Geneva in June. It concluded that, on the balance of available evidence, there
was indeed a discernible human influence on global climate that posed hazards
to human and economic development. It recommended cost-effective steps,
consistent with sustainable development, and designed to provide no regrets
safeguards against such risks. It was decided that steps should also be
compatible with food security, social justice and the wealth of nations.
In 1997, taking its cue from these conclusions, COP 3 adopted the Kyoto
Protocol in December. The Kyoto Protocol sets individual, legally binding
targets for industrialised countries prepared to take positive steps to curb
emissions of carbon dioxide and other GHGs from sources within their remit.
Time constraints prevented COP 3 from working out the details of how the
Kyoto Protocol should operate in practice.
Extracted from the UNFCCC Handbook available at http://

unfccc.int/resource/docs/publications/handbook.pdf; and the ENB reports to Climate Change available at
http://www.iisd.ca/process/climate_atm.htm
2
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19

Delegates celebrated adoption of the Protocol in 1997

Source: http://unfccc.int/kyoto_protocol/items/2830.php
A major feature of the Kyoto Protocol is that it sets legally binding targets
for developed countries and countries in transition to a market economy
(Annex B to the KP) for reducing GHG emissions. The emission reduction
commitments of individual Parties amount to an average of a five percent
reduction against 1990 emission levels over the five-year period 2008-2012
(first commitment period) and a reduction of at least 18 percent during the
period of 2013-2020 (second commitment period) compared to 1990 levels.
The detailed rules for the implementation of the Protocol in the first
commitment period were adopted at COP 7 in Marrakesh in 2001 and are
called the Marrakesh Accords. For the second commitment period, Parties to
the KP adopted an amendment to the KP by decision 1/CMP.8 ("Doha
Amendment") in accordance with Articles 20 and 21 of the KP, at the eighth
session of the Conference of the Parties serving as the meeting of the Parties
to the Kyoto Protocol held in Doha, Qatar, in December 2012.
The Protocol establishes three flexible mechanisms to assist Annex B Parties in
meeting their national targets cost-effectively: an emissions trading system;
joint implementation (JI) of emissions-reduction projects between Annex B
Parties; and the Clean Development Mechanism (CDM), which allows for
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emission reduction projects to be implemented in non-Annex B Parties

(developing countries) by Annex B Parties as part of reaching their emission
reduction target. Following COP 3, Parties began negotiating many of the rules
and operational details governing how countries will reduce emissions and
measure their emissions reductions. The Protocol will be analysed in detail in
Module IV on mitigation.
In 1998, at COP 4, held in Buenos Aires in November, a two-year plan for
completing a set of practical rules was agreed, the so-called Buenos Aires Plan
of Action (BAPA).The BAPA set COP 6 as the deadline for finalising these details
and strengthening implementation of the UNFCCC.
In 1999, the agenda of COP 5, which took place in Bonn, was based on this
plan.
In 2000, since it was evident that not all the issues relating to the operational
rules for the Protocol could be resolved at COP 6 in November (in The Hague)
due to differences among states, the meeting was suspended.
In 2001, COP 6 resumed in Bonn in late July and reached an outline
agreement the so-called Bonn Agreements on an emissions trading
system, on a Clean Development Mechanism (CDM), on rules for accounting
for emissions reductions from carbon sinks (Land Use, Land Use Change and
Forestry - LULUCF) and on a compliance regime. It also outlined a package of
financial and technological support to help developing countries contribute to
global action on climate change and address its adverse effects.
Detailed legal texts based on these decisions were on the negotiating table at
COP 7, held in Marrakesh in late 2001. COP 7 adopted the respective decisions,
the so-called Marrakesh Accords. These important decisions set various rules
for "operating" the more complex provisions of the Kyoto Protocol.
These Accords consisted of a package of draft decisions on many of the details
of the flexible mechanisms, reporting and methodologies, LULUCF, and
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21

compliance with the Kyoto Protocol, to be adopted by parties at the first

COP/MOP. The Accords also addressed support for developing countries,
including capacity building, technology transfer, responding to the adverse
effects of climate change, and the establishment of three funds the Least
Developed Countries (LDC) Fund, Special Climate Change Fund (SCCF), and
Adaptation Fund.
In 2002, COP 8, held in New Delhi in November, was the first session after
the negotiations under the BAPA had been completed. It marked a new phase
of negotiations as the focus shifted to implementation of the Marrakesh
Accords and to Convention issues. COP 8 adopted the Delhi Ministerial
Declaration on Climate Change and Sustainable Development as well as the
New Delhi work programme on education, training and public awareness
(Article 6).
Delegates reconvened in the afternoon to finish the work of COP-9. In addition, the COP welcomed
Argentinas offer to host COP-10.
Source: http://www.iisd.ca/climate/cop9/
In 2003, COP 9, held in Milan in December, adopted decisions on afforestation

and reforestation activities under the CDM.
In 2004, at COP 10, held in Buenos Aires in December, the predominant issue
was adapting to climate change and one of the outcomes was the Buenos Aires
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22

programme of work on adaptation and response measures. However, some

issues remained unresolved, including items on the LDC Fund, the SCCF, and
Protocol Article 2.3 (referring to the adverse effects of policies and measures).
Meanwhile, lengthy informal negotiations were held on the complex and
sensitive issue of how parties might engage on commitments to combat
climate change in the post-2012 period. Delegates agreed to hold a Seminar of
Governmental Experts in May 2005, although the terms of reference for the
Seminar did not refer specifically to the post-2012 period or to any new
commitments. The Seminar took place in May 2005, and started to address
some of the broader issues facing the climate change process.
On 16 February 2005, the Kyoto Protocol came into force.
The full text of the Kyoto Protocol can be found at:

http://unfccc.int/kyoto_protocol/items/2830.php
The first Conference of the Parties serving as the meeting of the Parties
to the Kyoto Protocol (CMP 1) was held with COP 11 in Montreal in
November and December. At CMP 1, Parties discussed and adopted decisions
on the outstanding operational details of the Kyoto Protocol, including formally
adopting the Marrakesh Accords. Parties also took decisions on a process to
discuss post-2012 commitments, which included a decision to establish a new
subsidiary body, the Ad Hoc Working Group on Further Commitments for
Annex I parties under the Kyoto Protocol (AWG - KP). This working
group and international negotiation track deals with the commitments for the
industrialised countries (Annex I Parties) under the Kyoto Protocol for the
period beyond 2012, when the first period of emission reduction commitments
(2008-2012) expires.
COP
11
also
addressed
issues
such
as
capacity
building,
technology
development and transfer, and several financial and budget-related issues.

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23

After lengthy negotiations, the COP also agreed on a process to consider future
action under the UNFCCC, which would involve a series of workshops that
would constitute a dialogue on the matter through to COP 13.
COP 12 was held in Nairobi from the 6th to 17th November 2006. The twelfth
Conference of the Parties (COP 12) to the UN Framework Convention on
Climate Change (UNFCCC) and second Conference of the Parties serving as the
Meeting of the Parties to the Kyoto Protocol (CMP 2) took up issues relating to
the Protocols flexible mechanisms, particularly the Clean Development
Mechanism and Joint Implementation.
In 2007, COP 13 and CMP 3 took place in December 2007, in Bali, Indonesia.
The Bali Climate Change Conference, a major step in international
climate
change
negotiations,
brought
together
more
than
10,000
participants, including representatives of over 180 countries together with

observers from intergovernmental and non-governmental organisations and
the media. Governments adopted the "Bali Road Map"; a set of decisions that
represented the various tracks that were seen as key to reaching a global
climate deal. It includes the Bali Action Plan, which charts the course for a
new negotiating process designed to tackle climate change, with the aim of
completing this by 2009 (by COP 15/CMP 5 in Copenhagen, Denmark).
http://unfccc.int/essential_background/bali_road_map/items/6072.php
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24

This roadmap includes a two track-approach, under the Convention and the
Kyoto Protocol. The first track (AWG-KP) was launched in 2005, during CMP 1,
and deals with emission reduction targets and means of implementation.
The second international negotiation track was launched in CMP 3 to provide a
comprehensive process to enable full, effective and sustained implementation
of the Convention through long-term cooperative action, from 2007, up to, and
beyond 2012, in order to reach an agreed outcome and adopt a decision at
COP 15 in Copenhagen (2009). The Bali Action Plan identifies four key
elements: mitigation, adaptation, finance and technology. The Plan also
contains a non-exhaustive list of issues to be considered under each of these
areas and calls for articulating a shared vision for long-term cooperative
action. To carry out this work a new subsidiary body was established under
the Convention, the Ad Hoc Working Group on Long-Term Cooperative
Action under the Convention (AWG-LCA), which was mandated to launch a
comprehensive process on long-term cooperative action under the Convention.
The IPCC finalised its Third Assessment Report in time for COP 13. The
AWG-KP adopted conclusions referring to some key findings by Working Group
III of the IPCC, including that global greenhouse gas emissions need to peak in
the next ten to fifteen years and then must be reduced to well below half of
2000 levels by the middle of the 21st century in order to stabilise greenhouse
gas concentrations in the atmosphere at the lowest acceptable level as
assessed by the IPCC. The AWG-KP conclusions also recognised that to achieve
the lowest stabilisation level, Annex I parties, as a group, would be
required to reduce emissions by somewhere in the range of 25-40%
below 1990 level, by 2020.
In 2008, COP 14 and CMP 4 were held in Poznan, Poland, from 1-12
December 2008. The main focus in Poznan, however, was on long-term
cooperation and the post-2012 period (after the Kyoto Protocols first
commitment period expires). Poznan therefore marked the halfway mark
towards the December 2009 deadline. While the Poznan negotiations did result
in some progress, there were no significant breakthroughs, and negotiators
___________________________________________________________________________________________________
25

faced a hectic 12 months of talks leading up to the critical deadline of

December 2009 in Copenhagen, Denmark.
In 2009, COP 15 and the CMP 5 were held in Copenhagen, Denmark, from 719 December surrounded by major international attention. Watch the video
below shedding light on the expectations associated with the Copenhagen
Climate Change Conference.
UN Secretary-General Ban Ki-moon consulting with UNFCCC Executive Secretary Yvo de Boer, Danish Prime Minister Lars Lkke Rasmussen and UNFCCC Deputy Executive
Secretary Richard Kinley consulting during the closing COP plenary.
COP 15 and CMP 5 were held in conjunction with the thirty-first sessions of the
Subsidiary Body for Scientific and Technological Advice (SBSTA 31) and the
Subsidiary Body for Implementation (SBI 31), the tenth session of the Ad Hoc
Working Group on Further Commitments for Annex I Parties under the Kyoto
Protocol (AWG-KP 10), and the eighth session of the Ad Hoc Working Group on
Long-term Cooperative Action under the UNFCCC (AWG-LCA 8).
___________________________________________________________________________________________________
26

Watch the opening ceremony of COP15 on 7 December 2009

http://cop15.metafusion.com/kongresse/cop15/templ/play.php?id_kongresssession=2279&the
me=unfccc
The Copenhagen Conference marked the culmination of a two-year negotiating

process to enhance international climate change cooperation under the Bali
Roadmap, launched at COP 13 in December 2007. Its outcomes will be
analysed in Module VIII of this course. Despite the deadline prescribed into the
Bali Roadmap of concluding an international climate change agreement by
2009 at COP 15, the Copenhagen Climate Change Conference resulted instead
in an accord of a political nature concluded essentially by a limited number of
heads of state and government during the final hours the Copenhagen
Accord and only taken note by the COP. Thus, the outcomes were described
by many as disappointing. Watch the video of UN Secretary General Ban Kimoon on the final outcome of the Copenhagen conference.
See the following link for Secretary General of the United
Nations, Mr. Ban Ki-moons closing speech at COP 15/CMP
5 (press conference):
http://www.youtube.com/watch?v=YsIqfx5XWu4
Full text of the Copenhagen Accord can be found at:

http://unfccc.int/documentation/documents/advanced_search/items/691
1.php?priref=600005735#beg
The following year, during preparations for the forthcoming COP, was largely
devoted to securing the process and trying to move forward towards an
international climate change agreement by transferring important gains of the
Copenhagen Accord into the broader Convention framework and implementing
___________________________________________________________________________________________________
27

them, as well as by making progress on other issues necessary for a global

agreement. More details will be provided in Module VIII.
COP 16 and CMP 6 were held in Cancun, Mexico, from 29 November to 11
December, in conjunction with the thirty-third sessions of the Subsidiary Body
for Scientific and Technological Advice (SBSTA 33) and the Subsidiary Body for
Implementation (SBI 33); the fifteenth session of the Ad Hoc Working Group
on Further Commitments for Annex I Parties under the Kyoto Protocol (AWGKP 15), and the thirteenth session of the Ad Hoc Working Group on Long-term
Cooperative Action under the UNFCCC (AWG-LCA 13).
http://unfccc.int/meetings/cancun_nov_2010/meeting/6266.php
The Cancun Conference adopted the Cancun Agreements, which include

decisions
under
both
the
Convention
and
Protocol
negotiating
tracks,
containing provisions on adaptation, REDD+, technology, mitigation and

finance. A new institutional landscape also emerged from these agreements.
All countries, with the exception of Bolivia, supported adoption of the
Agreements. While the substantive outcome can be seen as far from perfect, it
succeeded in restoring confidence in the UNFCCC process. However, it is
widely acknowledged that it was only a small step in combating climate
change. The outcomes will be further analysed in Module VIII of this course.
Watch the video of the UN Secretary General on assessing the outcomes of
COP 16.
___________________________________________________________________________________________________
28

UN Secretary General Press Conference in Cancun:

http://unfccc.int/resource/webcast/player/app/play.php?id_episode=298
9
The United Nations Climate Change Conference in Durban, South Africa, was
held from 28 November - 11 December 2011. The Durban Climate Change
Conference involved a series of events, including the seventeenth session of
the Conference of the Parties (COP 17) to the UNFCCC and the seventh
meeting of the Conference of the Parties serving as the Meeting of Parties to
the Kyoto Protocol (CMP 7). In support of these two main bodies, four other
bodies convened: the resumed 14th session of the AWG-LCA; the resumed
16th session of the AWG-KP; and the 35th sessions of the SBI and the SBSTA.
Source: http://unfccc.int/meetings/durban_nov_2011/meeting/6245.php
The meetings resulted in the adoption of 19 COP decisions and 17 CMP

decisions and the approval of a number of conclusions by the subsidiary
bodies.
These
outcomes
cover
wide
range
of
topics,
notably
the
establishment of a second commitment period under the Kyoto Protocol a

major demand of developing countries, made essentially possible through the
acceptance of the European Union and its member states to take on further
commitments under the Kyoto Protocol in exchange for securing an agreement
on the establishment of a roadmap towards a new international climate change
regime. In addition, the outcome also covered a decision on long-term
cooperative action under the Convention that launched a "process to develop a
___________________________________________________________________________________________________
29

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" ADP to be
further discussed in Module VIII. The ADP "shall complete its work as early as
possible but no later than 2015 in order to adopt this protocol, another legal
instrument or an agreed outcome with legal force at the twenty-first session of
the Conference of the Parties and for it to come into effect and be implemented
from 2020".
By mastering the challenging Durban agenda, governments can take a
significant step towards a climate change regime that delivers on the
ground".
Christiana Figueres, Executive Secretary UNFCCC
The Doha Climate Change Conference (COP 18 and CMP 8) opened on the
26 November and continued until 8 December 2012 in Doha, Qatar.
http://unfccc.int/meetings/doha_nov_2012/meeting/6815.php
___________________________________________________________________________________________________
30

COMMENTARY:
Despite major expectations worldwide, instead of a new international climate change
regime at COP15 in Copenhagen in 2009, countries were left only with an uncertain
agreement of political nature (only taken note of by the COP). Decisions in Cancun
(2010) rescued elements of the Copenhagen Accord, bringing some of these advances
(finance, 2C target, mitigation pledges) back into the negotiations. Durban (2011)
marked a new beginning by introducing a third track (ADP) for the purpose of
negotiating a new post-2020 comprehensive international framework by 2015 along
with foreseeing the adoption in Doha (2012) of the second commitment period of the
Kyoto Protocol starting from January 2013. In Doha (2012) a group of Annex I Parties
took on legally binding mitigation commitments for the second commitment period of
the Kyoto Protocol (Doha Amendment) and negotiations were terminated on the LCA
track. Therefore, from 2013 onwards, negotiations towards a new comprehensive
regime will be pursued through one single track, (ADP), introducing an entire new
phase of international climate change talks.
Watch a video by the UN Secretary General at the Doha Conference.

Watch the UN Secretary-General Press briefing:
http://www.youtube.com/watch?v=i_hBuoV8abI
It is important to highlight that in Doha, governments finally concluded work

under the Convention that began in Bali in 2007. Therefore, so called AWG-LCA
will no longer convene. Many developing countries reiterated the need to fully
address all elements of the Bali Action Plan and some concerns were also
expressed as to whether all issues would be taken up by the future process.
The Kyoto Protocol, as the only existing and binding agreement under which
developed countries commit to cutting greenhouse gases, has been amended
so that it will continue as of 1 January 2013 (second commitment period).
Hence, the AWG-KP terminated its work. Governments agreed to speedily work
toward a universal climate change agreement covering all countries from 2020,
to be adopted by 2015, and to find ways to scale up efforts before 2020
beyond the existing pledges to be further discussed in Module VIII. The main
focus of the work during the forthcoming years will therefore be to secure a
new global framework on climate change with an increased ambition level.
___________________________________________________________________________________________________
31

By watching the video below, you will get an insight of the outcomes of Doha,
along with an outlook for the future.
UNFCCC and COP 18/CMP 8 Presidency Press briefing:
http://unfccc4.metafusion.com/kongresse/cop18/templ/play.php?id_kongresssession=5819&
theme=unfccc
The Warsaw Climate Change Conference (COP 19 and CMP 9) was held
between 11 and 22 of November 2013 in Warsaw, Poland. The Conference
helped Parties to keep on track towards a universal climate agreement in 2015
and
produced
significant
new
decisions
that
will
cut
emissions
from
deforestation ("Warsaw Framework for REDD+") and reduce loss and damage.
In the context of the 2015 Agreement, Parties decided to initiate or intensify
domestic preparation for their intended national contributions towards that
agreement, which will come into force from 2020. Parties ready to do this will
submit clear and transparent plans well in advance of COP 21, in Paris, and by
the first quarter of 2015. Parties also resolved to close the pre-2020 ambition
gap by intensifying technical work and more frequent engagement of Ministers.
The conference also decided to establish an international mechanism to
provide the 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 will begin next year.
By watching the video below, you will get an insight of the outcomes of
Warsaw.
UNFCCC Executive Secretary & COP19 President

Press Briefing: http://unfccc4.metafusion.com/kongresse/cop19/templ/play.php?id_kongresssession=7705&
theme=unfccc
___________________________________________________________________________________________________
32

3. Legal Issues: Ratification Status of the Climate Agreements

The Convention was adopted at the United Nations Headquarters, New York
on the 9 May 1992. In accordance with Article 20, it was open for signature at
Rio de Janeiro from 4 to 14 June 1992, and thereafter at the United Nations
Headquarters, New York, from 20 June 1992 to 19 June 1993. By that date,
the Convention had received 166 signatures.
Pursuant to Article 22, the Convention is subject to ratification, acceptance,
approval or accession by States and by regional economic integration
organisations. States and regional economic integration organisations that
have not signed the Convention may accede to it at any time.
The Convention entered into force on 21 March 1994, in accordance with
Article 23, that is on the ninetieth day after the date of deposit of the fiftieth
instrument of ratification, acceptance, approval or accession.
What is the difference between ratification, acceptance,
approval and accession when adopting conventions or
treaties?
As of December 2013, there are 195 Parties (194 States and 1 regional
economic integration organisation) and 165 signatories to the United Nations
Framework Convention on Climate Change.
The Protocol to the United Nations Framework Convention on Climate
Change (UNFCCC) was adopted at the third session of the Conference of the
Parties (COP 3) in Kyoto, Japan, on 11 December 1997. In accordance with
Article 24, it was open for signature from 16 March 1998 to 15 March 1999 at
United Nations Headquarters, New York. By that date the Protocol had received
84 signatures.
___________________________________________________________________________________________________
33

Pursuant to Article 22, the Protocol is subject to ratification, acceptance,

approval or accession by Parties to the UNFCCC. Parties to the UNFCCC that
have not signed the Protocol may accede to it at any time.
The Protocol entered into force on 16 February 2005 in accordance with Article
25, that is the ninetieth day after the date on which not less than 55 Parties to
the UNFCCC, including Annex I Parties, which accounted in total for at least
55% of the total Annex I carbon dioxide emissions as of 1990, deposited their
instruments of ratification, acceptance, approval or accession.
Currently, there are 192 Parties (191 States and 1 regional economic
integration organisation) to the Kyoto Protocol.
Parties to the Kyoto Protocol adopted an amendment to the Kyoto Protocol
by decision 1/CMP.8 in accordance with Articles 20 and 21 of the Kyoto
Protocol, at the eighth session of the Conference of the Parties serving as the
meeting of the Parties to the Kyoto Protocol held in Doha, Qatar, in December
2012.
On 21 December 2012, the amendment was circulated by the SecretaryGeneral of the United Nations acting in his capacity as Depositary to all Parties
to the Kyoto Protocol in accordance with Articles 20 and 21 of the Protocol.
Pursuant to Article 21, paragraph 7, and Article 20, paragraph 4, the
amendment is subject to acceptance by Parties to the Kyoto Protocol. In
accordance with Article 20, paragraph 4, the amendment will enter into force
for those Parties having accepted it on the ninetieth day after the date of
receipt by the Depositary of an instrument of acceptance by at least three
fourths of the Parties to the Kyoto Protocol.
A total of 144 instruments of acceptance are required for the entry into force of
the amendment.
In his letter, dated 13 February 2013, to the Governments of the Kyoto
Protocol Parties, the Secretary General of the United Nations congratulated
Parties on the adoption of the Amendment and encouraged its prompt
___________________________________________________________________________________________________
34

acceptance. To facilitate the entry into force of the amendment, the

correspondence from the Secretary General also included information on the
procedure for the Amendments acceptance and contained a model instrument
of acceptance.
In paragraph 5 of decision 1/CMP.8, the CMP recognised that Parties may
provisionally apply the amendment pending its entry into force in accordance
with Articles 20 and 21 of the Kyoto Protocol. The Parties intending to
provisionally apply the amendment pending its entry into force may provide
notification to the Depositary of their intention to provisionally apply the
amendment.
As of December 2013, Bangladesh, Barbados, United Arab Emirates and
Mauritius had indicated its acceptance of the amendment.
Full information about the acceptance of the amendment

can be found at: http://unfccc.int/kyoto_protocol/doha_amendment/items/7362.php
Parties are currently negotiating towards a new legallybinding
instrument.
What
legal
form
might
this
agreement take and what are the different implications

for various options?
___________________________________________________________________________________________________
35

Lesson 3: Objectives and Principles under the

UNFCCC and the Kyoto Protocol
Learning Objective Lesson 3:

The learner will be able to appreciate the objectives and principles of the
UNFCCC and the Kyoto Protocol.
1. Objectives of the UNFCCC and Kyoto Protocol
Some useful publications including a Beginners guide to
the Convention are available at:
http://unfccc.int/essential_background/background_publications_htmlpdf
/items/2625.php
According to Article 2 of the UN Framework Convention on Climate Change, its

ultimate objective is to achieve, in accordance with the relevant
provisions
of
the
Convention,
stabilisation
of
greenhouse
gas
concentrations in the atmosphere at a level that would prevent

dangerous anthropogenic interference with the climate system. This
objective is further qualified in that it should be achieved within a time frame
sufficient to allow ecosystems to adapt naturally to climate change, to ensure
that food production is not threatened and to enable economic development to
proceed in a sustainable manner.
In stating this objective, the Convention reflects the common concern that the
Earths climate system is threatened by a rise in atmospheric greenhouse gas
(GHG) concentrations, caused by increased anthropogenic GHG emissions. The
Convention does not provide a list of the GHGs that are to be legislated, but
___________________________________________________________________________________________________
36

only refers to carbon dioxide and other greenhouse gases not controlled by
the Montreal Protocol.
To achieve this objective, all Parties to the Convention those countries that
have ratified, accepted, approved, or acceded to the treaty are subject to an
important set of general commitments which place a fundamental obligation on
both industrialised and developing countries to respond to climate change.
The Convention does not state a limit for total global anthropogenic
GHG emissions that would have to be respected in order to achieve its
objective. Nor does it indicate the level of total GHG concentrations beyond
which dangerous anthropogenic interference with the climate system would
occur. Estimates of where these levels lie continuously evolve with scientific
advances and are complicated by the political need to take into account the
changing ability of societies to adapt to climate change.
Another important factor is that stabilising atmospheric concentrations of GHGs
near current levels would actually require a steep reduction in our current
emissions. This is because, once emitted, GHGs remain in the atmosphere for
a considerable length of time: carbon dioxide, for instance, stays in the climate
system, on average, for a century or more.
Estimates of what GHG concentrations would lead to what overall rise in
temperature, and what effects this would have on nature and human life are
provided in reports from the Intergovernmental Panel on Climate Change
(IPPC). The reports also detail how different policies and measures can
influence these developments. The IPCC was set up in 1988 to provide an
authoritative source of up-to-date interdisciplinary knowledge on climate
change (more about the IPCC in Lesson 6). It defines its conclusions as
policy-relevant, but not policy prescriptive. However, it is important to
recognise that ultimately the question of what levels of GHG concentrations are
acceptable cannot be resolved by science alone. It also has to be the subject of
political decisions.
___________________________________________________________________________________________________
37

Although the Convention does not indicate targets for an overall limitation or
reduction of global GHG emissions, it provides the first quantified goal in
Article 4.2(a) and (b), calling on Parties included in Annex I to the Convention
(Annex I Parties) to return their GHG emissions, individually or jointly, to 1990
levels (or to the level of another assigned base-year). However, the
provisions in Article 4.2(a) and (b) were judged to be inadequate by the
Conference of the Parties to the Convention (COP) at the first session in 1995.
This paved the way for negotiating more stringent targets.
The 1997 Kyoto Protocol shares the Conventions objective, principles and
institutions, but significantly strengthens the Convention by committing
Annex I Parties to individual, legally-binding targets to limit or reduce
their GHG emissions within a time horizon (up to 2012 for the first
commitment period, and up to 2020 for the second).
2. Principles of the UNFCCC and

Kyoto Protocol
Article 3 of the Convention states that the
principles of the Convention shall guide the
actions of Parties, and thus do not constitute
an exhaustive list of the action that can be
taken to tackle the collective action problem of climate change.
2.1.
Equity and Common but Differentiated Responsibilities
Article 3.1 stresses major principles of the Convention, notably the principles of
equity and of common but differentiated responsibilities and respective
capabilities (CBDR). The latter principle was also included in the Rio
Declaration in 1992 (as Principle 7).
___________________________________________________________________________________________________
38

Past and present GHG emissions are distributed unevenly among Parties, and
Parties have different capacities and resources to address the causes and
effects of climate change. Equity and the principle of CBDR justify the
recognition by the Convention that developed countries should take the lead in
combating climate change. Article 3.1 thus calls on developed countries to
take the lead in combating climate change and the adverse effects thereof.
This is reflected in the Convention by differentiating between Annex I Parties
(developed countries and economies in transition) and those Parties not listed
in Annex I to the Convention (non-Annex I Parties). These guiding principles
have acquired major importance - with differing interpretations of Parties - in
past negotiations related to burden sharing and are frequently called upon by
several Parties during efforts related to establishing a post-2020 framework.
Article 3.1., UNFCCC
The Parties should protect the climate system for the benefit of present and future generations of humankind, on
the basis of equity and in accordance with their common but differentiated responsibilities and respective
capabilities. Accordingly, the developed country Parties should take the lead in combating climate change and the
adverse effects thereof.
Principle 7 of the 1992 Rio Declaration on Environment and Development
States shall cooperate in a spirit of global partnership to conserve, protect and restore the health and integrity of
the Earth's ecosystem. In view of the different contributions to global environmental degradation, States have
common but differentiated responsibilities. The developed countries acknowledge the responsibility that they bear
in the international pursuit of sustainable development in view of the pressures their societies place on the global
environment and of the technologies and financial resources they command.
BASIC press conference emphasising equity and CBDR in Doha

6 December 2012
http://unfccc4.metafusion.com/kongresse/cop18/templ/play.php?id_kongresssession=577
7&theme=unfcc
Article 3.2 of the Convention acknowledges further differentiations between

Parties and their respective capacities to meet their commitments under the
Convention, and acknowledges also that each Party has specific needs and
___________________________________________________________________________________________________
39

vulnerabilities in terms of the adverse effects of climate change they are likely
to face in the future.
The specific needs and special circumstances of developing country Parties, especially those that are particularly
vulnerable to the adverse effects of climate change, and of those Parties, especially developing country Parties, that
would have to bear a disproportionate or abnormal burden under the Convention, should be given full consideration.
This calls for priority to the special situation and needs of developing countries, particularly the least developed and
those most environmentally vulnerable.
Article 3.3 calls for all policies to tackle climate change to be comprehensive
and context-specific with regard to national circumstances and associated
vulnerabilities.
The Parties should take precautionary measures to anticipate, prevent or minimize the causes of climate change
and mitigate its adverse effects. Where there are threats of serious or irreversible damage, lack of full scientific
certainty should not be used as a reason for postponing such measures, taking into account that policies and
measures to deal with climate change should be cost-effective so as to ensure global benefits at the lowest
possible cost. To achieve this, such policies and measures should take into account different socio-economic
contexts, be comprehensive, cover all relevant sources, sinks and reservoirs of greenhouse gases and adaptation,
and comprise all economic sectors. Efforts to address climate change may be carried out cooperatively by
interested Parties.
In order to protect the environment, the precautionary approach shall be widely applied by States according to
their capabilities. Where there are threats of serious or irreversible damage, lack of full scientific certainty shall
not be used as a reason for postponing cost-effective measures to prevent environmental degradation.
While all Parties have commitments under the Convention, most of which are
laid down in Article 4.1, Annex I Parties are subject to specific requirements to
demonstrate that they are taking the lead in combating climate change. Article
4.2 requires them to adopt policies and measures to mitigate climate change
by limiting their GHG emissions and enhancing their GHG sinks and reservoirs.
Article
12
regulates
the
way
Parties
communicate
information
on
implementation. The Convention requires Annex I Parties to reduce their GHG

emissions to 1990 levels by end of the 1990s but it also provides for a review
of the adequacy of these commitments. The first review ultimately led to the
___________________________________________________________________________________________________
40

adoption of the Kyoto Protocol, which sets more stringent, legally binding
targets for Annex I Parties with a time horizon well beyond the year 2000.
Further differentiation occurs within Annex I. On one hand, Parties listed in

Annex II to the Convention (Annex II Parties) are required to provide financial
assistance and facilitate the transfer of technologies to developing countries to
help them implement their commitments under the Convention. On the other
hand, the group of countries whose economies are defined as in transition
(EITs) are granted a certain degree of flexibility in implementing their
commitments, on account of recent economic and political upheavals in these
countries.
There is also differentiation within the non-Annex I Parties. The 48 Parties
classified as least developed countries (LDCs) by the United Nations are given
special consideration under the Convention because of their limited capacity to
respond to climate change and adapt to its adverse effects. Parties are urged
to take full account of the special situation of LDCs when considering funding
and technology transfer. In addition, reporting requirements for LDCs are less
strict than for other non-Annex I Parties insofar as they may make their initial
national communication at their discretion.
Furthermore, certain groups of developing countries are recognised by the
Convention as being especially vulnerable to the adverse effects of climate
change. These include countries with low-lying coastal areas and those prone
to desertification and drought. Others, such as countries that rely heavily on
income from fossil fuels, are more vulnerable to the potential economic
impacts of measures taken to respond to climate change. The Convention (in
Article 4.8 and 9) emphasises activities that might answer the specific needs
and concerns of these vulnerable countries, such as investment, insurance and
technology transfer.
The differentiation of responsibilities under the Convention is also expressed by
Article 4.7. This states that the extent to which developing country Parties will
effectively implement their commitments will depend on the effective
___________________________________________________________________________________________________
41

implementation by developed country Parties of their commitments under the

Convention related to financial resources and transfer of technology and will
take fully into account that economic and social development and poverty
eradication are the first and overriding priorities of the developing country
Parties.
Article 3.2 addresses the different degrees to which Parties will be affected by
climate change and by measures to implement the Convention. It calls for full
consideration of specific needs and special circumstances of developing
country Parties, especially those that are particularly vulnerable to the
adverse affects of climate change, and of those Parties, especially developing
country Parties, that would have to bear a disproportionate or abnormal
burden under the Convention. This is in line with Principle 6 of the Rio
Declaration. In the Convention, this provision is further detailed in Article 4.8
(specific needs and concerns of developing country Parties), Article 4.9
(specific needs and special situations of LDCs) and Article 4.10 (situation of
Parties with economies vulnerable to the adverse effects of response
measures).
2.2.
Precautionary Principle

The Parties should take precautionary measures to anticipate, prevent or minimize the causes of climate change
and mitigate its adverse effects. Where there are threats of serious or irreversible damage, lack of full scientific
certainty should not be used as a reason for postponing such measures, taking into account that policies and
measures to deal with climate change should be cost-effective so as to ensure global benefits at the lowest
possible cost. To achieve this, such policies and measures should take into account different socio-economic
contexts, be comprehensive, cover all relevant sources, sinks and reservoirs of greenhouse gases and adaptation,
and comprise all economic sectors. Efforts to address climate change may be carried out cooperatively by
interested Parties.
In order to protect the environment, the precautionary approach shall be widely applied by States according to
their capabilities. Where there are threats of serious or irreversible damage, lack of full scientific certainty shall
not be used as a reason for postponing cost-effective measures to prevent environmental degradation.
Article 3.3 refers to the precautionary principle, which is widely reflected in

environmental law and environmental agreements: Where there are threats of
___________________________________________________________________________________________________
42

serious or irreversible damage, lack of full scientific certainty

should not be used as a reason for postponing such
measures a statement which closely mirrors the wording
of Principle 15 of the Rio Declaration. In line with this,
Article 3.3 further stresses the need for cost-effectiveness.
Accordingly, the measures undertaken to implement the
Convention should avoid unnecessary burdens for the
economy. One way of minimising costs might be to
implement measures jointly (see Article 4.2(a)).
2.3.
Promote Sustainable Development
Article 3.4 lays down the right, and obligation, to promote sustainable
development. This is in line with Principle 3 of the Rio Declaration. Article 3.4
specifies that policies and measures to protect the climate system should be
appropriate for the specific conditions of each Party and should be integrated
with national development programmes, taking into account that economic
development is essential for adopting measures to address climate change.
Article 3.4. UNFCCC

The Parties have a right to, and should, promote sustainable development. Policies and measures to protect the
climate system against human-induced change should be appropriate for the specific conditions of each Party
and should be integrated with national development programmes, taking Source:
into account that economic
http://news.unfccc.int/web/nllp.asp
development is essential for adopting measures to address climate change.
?o=2ybdxljj&s=hkomb5gqcoxzcnwd
The right to development must be fulfilled so as to equitably meet developmental and environmental needs of
present and future generations
2.4. Trade related measures

Article 3.5 upholds the principle of free trade, calling on the Parties to promote
a supportive and open international economic system that would lead to
sustainable economic growth and sustainable development in all Parties,
particularly developing country Parties, thus enabling them better to address
the problems of climate change. Article 3.5 also calls on Parties to avoid
measures that constitute a means of arbitrary or unjustifiable discrimination
___________________________________________________________________________________________________
43

or a disguised restriction on international trade. This Article is closely related

to Principle 12 of the Rio Declaration.

The Parties should cooperate to promote a supportive and open international economic system that would lead
to sustainable economic growth and development in all Parties, particularly developing country Parties, thus
enabling them better to address the problems of climate change. Measures taken to combat climate change,
including unilateral ones, should not constitute a means of arbitrary or unjustifiable discrimination or a
disguised restriction on international trade.
States should cooperate to promote a supportive and open international economic system that would lead to
economic growth and sustainable development in all countries, to better address the problems of environmental
degradation. Trade policy measures for environmental purposes should not constitute a means of arbitrary or
unjustifiable discrimination or a disguised restriction on international trade. Unilateral actions to deal with
environmental challenges outside the jurisdiction of the importing country should be avoided. Environmental
measures addressing transboundary or global environmental problems should, as far as possible, be based on an
international consensus.
___________________________________________________________________________________________________
44

Lesson 4: Parties, Groups, and Observer States to

the UNFCCC and Kyoto Protocol
Learning Objectives Lesson 4:

The learner will be able to define the Parties and groups of Parties to the
UNFCCC
and
Kyoto
Protocol,
including
the
Parties
respective
commitments. The learner will also be able to identify the regional

groups and political negotiation groups/blocks such as, inter alia, G77
and China, AOSIS, JUSSCANNZ, the EU, OPEC, African Group, EIG, and
who the observer states are.
1. Becoming a Party to the UNFCCC

States and regional economic integration organisations may become Parties to
the Convention. According to Article 22, states and regional economic
integration organisations become Parties by ratifying, accepting, or approving
the Convention. While ratification, acceptance and approval have technical
differences; they entail the same consequences, namely that they are legally
binding on the entity concerned. States and regional economic integration
organisations may also accede to the Convention. Accession has the same
legal effect as ratification, acceptance or approval. However, unlike ratification,
which must be preceded by signature, accession requires only one step,
namely, the deposit of an instrument of accession.
The Convention has been open for accession since the day after the
Convention was closed for signing, which was 19 June 1993 (Article 20).
Signing generally does not in contrast to ratification, acceptance, approval or
accession bind the signatory to the treaty, but obliges it to refrain, in good
faith, from acts that would defeat the object and purpose of the treaty.
Note that signing is subject to ratification, acceptance or approval.
___________________________________________________________________________________________________
45

Instruments of ratification, acceptance, approval or accession are submitted to

the Depositary i.e. the United Nations Secretary-General. Many Parties made
declarations with their ratification. Some of them refer to the renunciation of
rights under international law on state responsibility or the commitments under
Article 4.2 of the Convention. These declarations comment on and specify the
Convention but they do not constitute a reservation, as reservations to the
Convention are forbidden under Article 24.
2. Who are the Parties to the UNFCCC and Kyoto Protocol?

We must keep in mind that the Parties to the UNFCCC may not be Parties to
the Kyoto Protocol (only when the Protocol has been subject to ratification,
acceptance, approval or accession by Parties to the UNFCCC), while all Parties
to the Kyoto Protocol must be Parties to the UNFCCC. This difference has
important implications for the level of commitment of each Party, since the
Convention
encourages Parties
(developed
countries)
to
reduce
GHG
emissions, while the Protocol commits them to do so.

However, the Convention and the Protocol divide countries into three main
groups according to differing commitments.
For an up-to-date list of countries that are Parties to
the Convention, please check the UNFCCC webpage
http://unfccc.int/parties_and_observers/parties/items/2352
.php
The figure below outlines the share of the major regions and continents in
global CO2 emissions from fuel combustion.
___________________________________________________________________________________________________
46

World* CO2 emissions from fuel combustion**, by region (Mt of CO2)
*World includes international aviation and international marine bunkers, which are shown together as
Bunkers. **Calculated using the IEAs energy balances and the Revised 1996 IPCC Guidelines. ***Asia
excludes China
Figure 2: World CO2 emissions from fuel combustion
Source: IEA, 2013 Key World Energy Statistics
2.1
Annex I Parties
Annex I Parties include the industrialised countries that were members of the
OECD (Organization for Economic Co-operation and Development) in 1992,
plus countries with economies in transition (the EIT Parties), including the
Russian Federation, the Baltic States, and several Central and Eastern
European States.
A requirement that affects only Annex I Parties is that they must adopt
climate change policies and measures with the aim of reducing their
greenhouse gas emissions to 1990 levels by the year 2000. This
provision obliges them to set an example of firm resolve to deal with climate
change. The Convention grants EIT Parties flexibility in implementing
commitments, on account of recent economic and political upheavals in those
___________________________________________________________________________________________________
47

countries. Several EIT Parties have exercised this flexibility to select a base
year other than 1990 against which to measure their emission limitation
efforts, to take account of intervening economic changes that led to big cuts in
their emissions.
Total aggregate greenhouse gas emissions of individual Annex I
parties 1990-2011 (excluding LULUCF)
Figure 3, Source: UNFCCC, http://unfccc.int/ghg_data/ghg_data_unfccc/items/4146.php
Subsequently, the Kyoto Protocol established legally binding GHG emissions

targets for the 200812 and 2013-2020 periods for Annex I Parties that are
recorded in Annex B of the Protocol.
___________________________________________________________________________________________________
48

Countries included in Annex B to the Kyoto Protocol and their

emissions targets during the first commitment period
Country
EU-15*, Bulgaria, Czech Republic, Estonia, Latvia, Liechtenstein,
Lithuania, Monaco, Romania, Slovakia, Slovenia, Switzerland
US***
Canada****, Hungary, Japan, Poland
Croatia
New Zealand, Russian Federation, Ukraine
Norway
Australia
Iceland
Target (1990** 2008/2012)

-8%
-7%
-6%
-5%
0
+1%
+8%
+10%
* The 15 States who were EU members in 1997 when the Kyoto Protocol was adopted, took on that 8%
target that will be redistributed among themselves, taking advantage of a scheme under the Protocol known
as a bubble, whereby countries have different individual targets, but which combined make an overall
target for that group of countries. The EU has already reached agreement on how its targets will be
redistributed
** Some EITs have a baseline other than 1990.
*** The US has indicated its intention not to ratify the Kyoto Protocol.
**** On 15 December 2011, the Depositary received written notification of Canada's withdrawal from the
Kyoto Protocol. This action became effective for Canada on 15 December 2012.
Source: UNFCCC, http://unfccc.int/kyoto_protocol/items/3145.php
In Doha, Parties to the Kyoto Protocol adopted an amendment to the Kyoto

Protocol by decision 1/CMP.8; which include that the following table shall
replace the table in Annex B to the Protocol.
___________________________________________________________________________________________________
49

Countries included in Annex B to the Kyoto Protocol and their

quantified emission limitation or reduction commitment during 20132020
___________________________________________________________________________________________________
50

NA = Not applicable
* Countries that are undergoing the process of transition to a market economy
Full explanation of the table footnotes can be obtained at:
http://unfccc.int/files/kyoto_protocol/application/pdf/kp_doha_amendment_english.pdf
Is important to note that, "each Party included in Annex I will revisit its
quantified emission limitation and reduction commitment for the second
commitment period at the latest by 2014. In order to increase the ambition of
___________________________________________________________________________________________________
51

its commitment, such Party may decrease the percentage inscribed in the third
column of Annex B of its quantified emission limitation and reduction
commitment, in line with an aggregate reduction of greenhouse gas emissions
not controlled by the Montreal Protocol by Parties included in Annex I of at
least 25 to 40 percent below 1990 levels by 2020".
2.2
Annex II Parties
Annex II Parties consist of the OECD members of Annex I, but not the EIT
Parties. They are required to provide financial resources to enable
developing countries to undertake emission reduction activities under the
Convention and to help them adapt to adverse effects of climate change. In
addition, they have to "take all practicable steps" to promote the development
and transfer of environmentally friendly technologies to EIT Parties and
developing countries. Funding provided by Annex II Parties is currently
channelled mostly through the Conventions financial mechanisms.
2.3
Non-Annex I Parties
Non-Annex I Parties are countries that have ratified or acceded to the United
Nations Framework Convention on Climate Change that are not included in
Annex I of the Convention. Non-Annex I Parties are mostly developing
countries. Certain groups of developing countries are recognised by the
Convention as being especially vulnerable to the adverse impacts of climate
change, including countries with low-lying coastal areas and those prone to
desertification and drought. Others (such as countries that rely heavily on
income from fossil fuel production and commerce) feel more vulnerable to the
potential economic impacts of climate change response measures. The
Convention emphasises activities that promise to answer the special needs and
concerns of these vulnerable countries, such as investment, insurance and
___________________________________________________________________________________________________
52

The 49 Parties classified as least developed countries (LDCs) by the United

Nations are given special consideration under the Convention on account of
their limited capacity to respond to climate change and adapt to its adverse
effects. Parties are urged to take full account of the special situation of LDCs
when considering funding and technology-transfer activities.
For the list of LDCs, click on the link:

http://www.un.org/en/development/desa/policy/cdp/ldc/ldc_list.pdf
3. What are the Parties Commitments?

3.1. Under the Convention
Commitments of Parties enshrined in the Convention reflect the principle of
common but differentiated responsibilities with more stringent obligations
falling upon Annex I and Annex II parties.
Country groupings and obligation differentiations under UNFCCC
COUNTRY GROUP
Members
ANNEX I
ANNEX II
Industrialised countries
(all members of the
Organization for
Economic Cooperation
and Development in
1992, 14 economies in
transition(EITs), Monaco,
Liechtenstein) and the
European Union
Industrialised countries
(OECD members in
1992) and the European
Union
NON-ANNEX I
Mostly developing
countries
___________________________________________________________________________________________________
53

Mitigation
-Adopt policies and

measures with the aim of
reducing their 2000
greenhouse gas
emissions to 1990 levels
-EITs have flexibility in
Implementing
commitments
-Provide financial
resources to enable
developing countries to
mitigate climate change
-Promote and facilitate
technology transfer to
EITs and non-Annex I
parties
Adaptation
Plan, implement, and

publish strategies of
integrating adaptation to
climate change in
development
Assist developing
countries to adapt to
climate change
-The Conference of the

Parties (COP) identifies
activities to address nonAnnex I needs and
concerns
-No quantitative
obligations, but general
obligations of all Parties
applicable
-Least-developed
countries given special
consideration
Plan, implement, and
publish strategies of
integrating adaptation to
climate change in
development
Figure 5: Source: Trade and climate change report WTO-UNEP report

http://www.wto.org/english/res_e/booksp_e/trade_climate_change_e.pdf
All Parties to the Convention those countries that have ratified, accepted,
approved, or acceded to it are subject to general commitments to respond to
climate change. Article 4.1 contains list commitments of all Parties. They
agree to compile an inventory of their greenhouse gas emissions, and submit
reports known as national communications on actions they are taking to
implement the Convention. To focus such actions, they must prepare national
programmes containing:
Climate change mitigation measures, i.e. measures to control GHG

emissions;
Provisions for developing and transferring environmentally friendly

technologies;
Provisions for sustainably managing carbon sinks (a term applied to

forests and other ecosystems that can remove more greenhouse gases
from the atmosphere than they emit);
Preparations to adapt to climate change;
Take into account climate change considerations in their social,

economic and environmental policies and actions;
Plans for climate research, observation of the global climate system and
data exchange; and
Plans to promote education, training and public awareness relating to

climate change.
___________________________________________________________________________________________________
54

In addition, Article 4.2 lists Annex I Party commitments:

-
Adoption of national policies and taking measures on mitigation of climate

change by limiting emissions of greenhouse gases in accordance with the
principles of developed countries to take the lead in combating climate
change;
Communication of detailed information on implementation with the aim of

returning their emissions to 1990 levels;
Coordination to achieve the objectives of the Convention, review of

policies.
Furthermore, Annex II Parties shall provide new and additional financial

resources to developing Parties according to Article 4.3. International climate
finance negotiations aiming at providing new and additional financial resources
to developing countries proved to be one of the most important and complex
issues in recent talks. In addition, they have to "take all practicable steps" to
promote the development and transfer of environmentally friendly technologies
to EIT Parties and developing countries.
Non-Annex I parties are not required to submit a separate annual
greenhouse gas inventory and their national communications are not subject to
in-depth reviews. See more on national communications in Module III.
3.2. Under the Protocol

The Kyoto Protocol imposes further, legally binding, commitments on Annex I
Parties.
The Kyoto Protocol builds upon and enhances many of the commitments
already in place under the Convention, specifically by setting legally
binding emission targets for Annex I Parties. The Protocol notably sets
binding commitments for Annex I Parties to limit or reduce greenhouse gas
emissions, and creates innovative mechanisms to assist these Parties in
meeting their emission commitments.
___________________________________________________________________________________________________
55

At the heart of the Protocol lie the legally binding emission limitation targets
for Annex I Parties. These targets are listed in Annex B to the Protocol, which
lists percentage GHG limitation targets for developed countries and for the
European Union as a whole. Canada indicated its withdrawal from the Kyoto
Protocol, whereas Japan, New Zealand and Russia Federation communicated
their intentions not to take on commitments during the second commitment
period.
The member States of the European Union agreed to redistribute their first
commitment period reduction targets among themselves, (internal burden
sharing decision), such that their cumulative target is allocated to the so-called
EU bubble.
Figure 6: Burden sharing among EU15 countries of the Kyoto reduction commitment
Source: Trade and climate change WTO UNEP report,
Annex B emission targets are set relative to each Partys GHG emissions in a
specific reference year, called the base year. For most Parties, the base year
is 1990. However, some EIT Parties have another base year. In addition, any
Party may choose a base year of either 1990 or 1995 for its emissions of HFCs,
PFCs and SF6. The emission target covers the seven GHGs from sources and
sectors listed in Annex A of the Protocol. Annex A excludes emissions and
___________________________________________________________________________________________________
56

removals from the LULUCF sector, which are treated differently to emissions
from the other sectors.
The Protocol establishes a specific time frame, called the commitment
period, for achieving emission targets. For the first commitment period, a
five-year period (2008-2012) was preferred to a single target year as a way to
smooth out annual fluctuations in emissions arising from unforeseen factors
such as economic cycles or weather patterns. In Doha, (2012), Parties decided
on an eight year second commitment period starting from January 2013 until
31 December 2020. During the commitment period, each Annex I Party must
ensure that its total GHG emissions from Annex A sources do not exceed its
allowable level of emissions.
The allowable level of emissions is called the Partys assigned amount. For
the first commitment period (2008 2012), the assigned amount of each Party
is calculated by multiplying the Partys base year GHG emissions from Annex
A, by its emission target and then by five (for the five years of the
commitment period) and by eight (for the eight years of the second
commitment period of 2013-2020). The resulting quantity is denominated in
individual units called assigned amount units or AAUs. Each AAU represents an
allowance to emit one metric tonne of carbon dioxide equivalent emissions
over the duration of the commitment period.
Unlike other multilateral environmental agreements, the Kyoto Protocol allows
Annex I Parties to change the level of their allowed emissions over the
commitment period through participation in the Kyoto Protocol flexibility
mechanisms and through the enhancement of carbon sinks. Through these
activities, Parties may generate or acquire additional emission allowances,
which are then added to the Partys assigned amount. Each of the flexibility
mechanisms, and sink activities, have a specific emission allowance associated
with it, which are collectively referred to as Kyoto Protocol units and are
subject to explicit rules on how they can be used. More about the Kyoto
Mechanisms will be covered in Module IV: Mitigating Climate Change.
___________________________________________________________________________________________________
57

4. Who are the Party Delegations and Regional Groups?

Each Party to the Convention is represented at sessions of the Conventions
bodies by a national delegation consisting of one or more officials who are
empowered to represent their governments. Their purpose is to negotiate
agreements and make proposals on behalf of their governments. The
complexity of the negotiations poses particular challenges to governments with
small delegations, developing countries in particular.
USA delegation, Bonn, 2005

Source: http://www.iisd.ca/climate/sb22/
Based on UN practice, Parties are organised into five regional groups,

namely: Africa, Asia, Russia and Eastern Europe, Latin America and the
Caribbean states, and the Western Europe and Others Group (the Others
include Australia, Canada, Iceland, New Zealand, and the USA). These groups
are especially important because UN practice recognises them for purposes of
establishing representation in the selection of Bureau membership. In addition
to the five regional groups, the Small Island Developing States (SIDS) has
achieved formal recognition in climate change deliberations.
___________________________________________________________________________________________________
58

4.1. Coordinated Groups

In practice, the regional groups do not represent the substantive interests of
Parties. Several other groupings are much more important in the negotiations.
These groups are known as coordinated groups. Some further details about
some of these groups are as follows:
1. G-77 and China
The Group of 77 (G-77) is the main developing country coalition and was
formed in 1964 during the New International Economic Order negotiations
under the UN Conference on Trade and Development (UNCTAD). China
regularly allies itself with this group, now gathering 133 members.
In the negotiations, developing countries generally work through the G-77 plus
China. This group works together to establish common negotiating positions.
As the climate change negotiations have become more complex, the G-77 plus
China has delegated coordination for specific issues to individual member
countries.
The country holding the Chair of the G-77 plus China (which rotates every
year) typically speaks for the group in opening statements, after which the
group is represented by the country with coordination for the topic being
discussed. However, because it is such a diverse group with differing interests
on climate change issues, individual developing countries also intervene in
debates, as do other smaller groupings within the G-77. The Group operates
according to a consensus rule. Without consensus, no common position is
articulated.
For a G-77 plus China statement, visit the following
website AWG LCA negotiations in Doha (COP 18) 7 December,
2012: http://unfccc4.metafusion.com/kongresse/cop18/templ/play.php?id_kongresssession=5812&
theme=unfccc
___________________________________________________________________________________________________
59

LDCs and SIDS are also members of the Group of 77 and China. However, the
G-77 plus China also has some of largest greenhouse gas emitters among
developing countries. The dilemma for LDCs and SIDS in relation to climate
change mitigation negotiations is that they are members of the same
negotiating group as countries whose emissions levels are continuously
increasing. These same countries (large developing country emitters) are
reluctant to reduce greenhouse gas emissions because of their development
objectives. As a consequence, SIDS and LDCs are at variance with their
developing country negotiating partners with regard to greenhouse gas
emission reductions. SIDS and LDCs face the challenge of convincing their
partners to take on the responsibility of reducing their greenhouse gas
emissions.
2. AOSIS
The Alliance of Small Island States (AOSIS) was formed in 1990 during the
Second World Climate Conference to represent the interests of low-lying and
small island countries that are particularly vulnerable to sea-level rise. It
comprises of some 39 member states and 5 observer states, most of which are
also members of the G-77.
The AOSIS countries are united in the view that climate change poses a
significant threat to their survival, and frequently adopt a common stance in
negotiations. Given that the emission levels of small island developing
countries are low (SIDS account for less than one percent of global greenhouse
gas emissions); their policy focus is essentially on adaptation. In addition, as
they are among the most threatened by some of the negative impact of
climate change, they advocate the most stringent emission reduction targets.
They are also concerned about funding for adaptation and climate finance in
general.
___________________________________________________________________________________________________
60

For the AOSIS position visit the link below

AOSIS press conference, 8 December2011, Durban
77&theme=unfccc
3. SIDS
There are 52 Small Island Developing States; 14 of which are non-UN
members or are associate members of UN regional commissions (See Table).
Small Island Developing States are located across the Indian, Pacific and
Atlantic Oceans. The Caribbean and the southwest Pacific have a high
concentration of SIDS, while those SIDS located in the Atlantic and Indian
Ocean are located mainly around the African continent. There are 11 countries
which are both LDCs and SIDS.
Figure: List of small island developing states.

Source: http://www.un.org/special-rep/ohrlls/sid/list.htm
Although Small Island Developing States vary in their geography, climate,

culture and stage of economic development, they have many common
___________________________________________________________________________________________________
61

characteristics which highlight their vulnerability, particularly as it relates to

climate change. These characteristics may include:
Limited physical size, which effectively reduces some adaptation options

to climate change and sea-level rise;
Generally limited natural resources, which are, in many cases, already

heavily stressed from unsustainable human activities;
High
susceptibility
to
natural
hazards
such
as
tropical
cyclones
(hurricanes) and associated storm surges, droughts, tsunamis, and

volcanic eruptions;
Relatively thin water lenses that are highly sensitive to the sea-level
changes; in some cases, relative isolation and great distance to major
markets;
Extreme openness of small economies and high sensitivity to external

market shocks, over which they exert little or no control;
Generally high population densities and in some cases high population

growth rates;
Frequently poorly developed infrastructure (except for major foreign

exchange-earning sectors such as tourism).3
4. Umbrella Group (JUSSCANNZ)

The Umbrella Group, originally called JUSSCANNZ, comprises of Japan, the
USA, Switzerland, Canada, Australia, Norway and New Zealand. Iceland is also
a member, while Mexico and South Korea are observers. During the
negotiation of the Kyoto Protocol, this group of Non-EU OECD (Organisation for
Economic Cooperation and Development) Parties morphed into the Umbrella
Group. The main difference between the two is that the Umbrella Group
excludes Switzerland and includes the Russian Federation and Ukraine.
The impact of climate change on the development prospects of the least developed countries and on the
small island developing states, 2009 Office of the High Representative for the Least Developed Countries,
Landlocked Developing Countries and Small Island Developing States (UN-OHRLLS).
3
___________________________________________________________________________________________________
62

The Umbrella Group was largely inactive from 200205, because two of its
members, Australia and the USA, had not ratified the Kyoto Protocol. However,
beginning in 2006, the group became more active, making statements on
issues related to the UNFCCC. With Australias ratification of the Kyoto Protocol
in late 2007, the group also began making statements on Kyoto Protocol
issues. The USA abstains from the groups position on these issues.
The Umbrella Groups main position has always been to address the cost of
tackling climate change. The group is, however, split. Japan, New Zealand,
Norway and Iceland already enjoy high energy efficiency from low carbon
sources. The second group is Australia, Canada and the USA, who face very
different national circumstances with relatively low energy efficiency and an
energy mix dominated by fossil fuels.
For an Umbrella Group statement visit the following link

Statement delivered in COP 18
http://www3.unog.ch/dohaclimatechange/sites/default/files/St
atement%20on%20behalf%20of%20the%20Umbrella%20Gro
up.pdf
5. EU
The European Union (EU) forms another large negotiating block. The EU has
maintained a coordinated position adopted by Heads of State and Government
level on climate change, usually speaking through its Presidency. The country
that holds the EU Presidency (rotates every six months) speaks for the
European Union and its member states (28) often with the support of countries
that are candidates for EU membership. During the second half of 2013
Lithuania had the Presidency of the European Union and, for the first half of
2014, Greece will have it. It has been rare for individual EU states to speak
___________________________________________________________________________________________________
63

during the Kyoto Protocol negotiations. As a regional economic integration

organisation, the European Community itself is a Party to the Convention.
However, it does not have a separate vote from its members.
Connie Hedegaard, European Commissioner for Climate Action, and Zhenhua Xie, Minister/Vice-Chairman
National Development and Reform Commission, China
Source: http://www.iisd.ca/climate/cop18/enb/, Courtesy of IISD/Earth Negotiations Bulletin
The EU also has so called, among its member's states, lead negotiators of
certain subjects who facilitate negotiations on behalf of the group. The EU has
a very similar split in its members to JUSSCANNZ, with both high and low
energy-efficient economies. The consensus view of the EU has been to position
itself as the environmental leader, with the attempt to advocate cuts as high as
30% by 2020. For 2020, the EU has made a unilateral commitment to reduce
overall greenhouse gas emissions from its 28 Member States by 20%
compared to 1990 levels. The EU rationale has been that any negotiated
reduction could then be apportioned between the EU countries, depending on
their development. It has also offered to increase this reduction to 30% if
other major economies agree to undertake their fair share of a global
emissions reduction effort. The EU and its member states have taken further
commitments under the Kyoto Protocol during the second commitment period.
___________________________________________________________________________________________________
64

EU Press conference, Warsaw 20 November, 2013

follow the link below:
http://unfccc4.metafusion.com/kongresse/cop19/templ/play.php?id_kongresssession=7018&th
eme=unfccc
To
To learn more about the EU position, visit the link:

http://www.consilium.europa.eu/uedocs/cms_Data/docs/pressdata/en
/envir/139002.pdf
6. OPEC
The OPEC (Organisation of Petroleum Exporting Countries) have regularly
coordinated their positions and strategies in the climate change negotiations,
but have never spoken or negotiated as a united group. The Organisation of
Petroleum Exporting Countries (OPEC) countries occasionally speak as a group
on issues that relate to oil usage.
One of the positions of this group is the protection of their main economic
export, oil, and fear that this income may be at risk if a treaty undermines the
significant use of fossil fuels. They have called on Annex I Parties to report on
the adverse impacts of their climate policies on developing countries
("response measures"); and seek for financial assistance for the loss of fossil
fuel revenue that would result if an ambitious climate change mitigation pact
were to be put in place. OPEC has also been advocating the use of carbon
capture and storage (CCS).
___________________________________________________________________________________________________
65

Saudi Arabian delegate, Bonn, 2005

7. African Group
The African Group represents an important forum for African countries to
pursue their specific interests, especially when they may differ from the wider
G-77. The Group often makes interventions in plenary on issues of particular
concern for its members, such as adaptation, financing, capacity building and
The country holding the Chair of the African Group does not necessarily
assume the role of coordinator in the climate change regime, since some
African countries are not active in the climate change regime or do not have
the experience needed to take on this role.
For the African Group position, visit the following link
African Group press conference, COP 18
http://unfccc4.metafusion.com/kongresse/cop18/templ/play.php?id_kongresssessio
n=5638&theme=unfccc
___________________________________________________________________________________________________
66

For the position of African ministers in the run up to

COP 18, click on the link:
http://www.twnside.org.sg/title2/climate/info.service/2012/cli
mate20121006.htm
8. Environmental Integrity Group (EIG)

The Environmental Integrity Group (EIG) is a coalition comprising of Mexico,
the Republic of Korea, Switzerland, Monaco and Liechtenstein. The first three
of these countries have substantial economies, but do not fit into any of the
existing groups. Concerning many issues, the groups members, comprising of
both Annex I and Non-Annex I Parties, do not share common consensus, since
they have little in common in terms of national circumstances. The group is
comprised of Parties that are not members of any of the other coordinated
groups and hence, by together forming the EIG, they are able to command a
more powerful voice in negotiations than they would as individual Parties
alone. As its name suggests, the overall purpose of the group is to promote
environmental integrity of the climate change regime. Where the group has a
common position, the IEG will negotiate together, and where it does not, its
members will negotiate individually.
[Left]
Switzerland for the Environmental Integrity Group (EIG)
Bonn, 2007
Source: http://www.iisd.ca/climate/sb26/may14.html
___________________________________________________________________________________________________
67

Read a submission of the Environmental Integrity Group outlining the group`s

vision for the 2012 Doha climate change conference, and beyond, on the future
of the new global climate change regime.
Submission to the ADP, 2012 November

http://unfccc.int/files/documentation/submissions_from_parties/adp/applic
ation/pdf/adp_eig_workstream1_02112012.pdf
9. Group of Least Developed Countries (LDCs)

The Group of Least Developed Countries (LDCs) is a group of 49 countries
defined by the UN as being the least developed. Compared to other developing
countries, LDCs emit relatively small amounts of greenhouse gases. However,
they are extremely vulnerable to the effects of climate change as they lack the
resources necessary. According to the Fourth Assessment Report of the
Intergovernmental Panel on Climate Change (IPCC AR4), most of the
anticipated climate change effects would be felt across the African continent,
which contains 33 LDCs. Over 70 percent of the population in the LDCs resides
in rural areas and depends on income from agriculture. LDCs are therefore
more exposed to the effects of land degradation, drought, desertification,
deforestation, as well as water and air pollution, which are associated with
climate change.
The LDCs have 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. They are increasingly
concerned about loss and damage and advocate ambitious climate finance
contributions as well as ambitious mitigation action on behalf of developed
Parties. Preserving the Kyoto Protocol and the continuation thereof through a
second commitment period has also been crucial for the group (see also
G77/China position).
___________________________________________________________________________________________________
68

For more on the LDC position, visit the link below

LDC press conference, COP 18, 30 November 2012
http://unfccc4.metafusion.com/kongresse/cop18/templ/play.php?id_kongresssession=5637&
theme=unfccc
Visit the website below of the LDC group for more information on group
positions, group structure and country profiles. Currently, Nepal has the chair
of the LDC group.
LDC group in the UN climate change negotiations:

http://ldcclimate.wordpress.com/
10. BASIC Countries

The BASIC countries are a coalition of four large developing countries Brazil,
South Africa, India and China, formed to share information on issues of
common concern. These countries play an increasingly important role in the
negotiations due to their major economic developments and CO2 emission
growth. Through ministerial declarations, BASIC group have being pushing
their position on key issues of climate negotiation (e.g. "5. Ministers reiterated
that the Durban Platform process is to further enhance the full, effective and
sustained implementation of the Convention. The work of ADP shall be under
the Convention and guided by its principles, in particular the principles of
equity
and
common
but
differentiated
responsibilities
and
respective
capabilities. The ADP process is by no means to renegotiate, rewrite,

restructure, or reinterpret the Convention or its principles, provisions and
Annexes. 6. Ministers emphasised that the Convention itself has provided the
structure and design of the 2015 agreement, which defines the differentiation
between developed and developing countries. The 2015 agreement shall
adhere to the principles, provisions and structure of the Convention, in
particular the provisions of Articles 4 and 12 as well as the Annexes, which
___________________________________________________________________________________________________
69

fully
reflect
the
principles
of
equity
and
common
but
differentiated
responsibilities. 7. Ministers reiterated that the 2015 agreement should

address all elements referred to in paragraph 5 of Decision 1/CP.17 in a
balanced and comprehensive manner, and should not just be confined to
mitigation. Ministers stressed that the negotiation on the 2015 agreement
should focus on enhanced actions that need to be undertaken for the
implementation of the Convention from 2020 in full accordance with the
principles and provisions of the Convention. Ministers called for a more
balanced, structured and formal mode of work focusing on the four pillars of
the Convention, i.e. mitigation, adaptation, finance and technology. 8.
Ministers emphasised that developed countries should take the lead in
combating climate change in accordance with their historical responsibilities
and what is required by science, by undertaking ambitious, quantified,
economy-wide emission reduction targets and fulfilling commitments of
providing finance and technology support to developing countries. Ministers
further highlighted the importance and relevance of Article 4.7 of the
Convention. (Joint Statement Issued at the Conclusion of the 17th BASIC
Ministerial Meeting on Climate Change Hangzhou, China 28-29 October 2012)).
To learn more about the BASIC position visit the link

below:
BASIC press conference, COP 19
5&theme=unfccc
To learn more on Chinas views on the Doha climate change conference and
beyond, read their submission below
Chinas submission on Doha and beyond:

http://unfccc.int/files/documentation/submissions_from_parties/adp/appli
cation/pdf/adp_china_workstream1and2_21112012.pdf
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70

To learn more on the position of India in the climate change negotiations, visit
the following website.
India climate change:

http://envfor.nic.in/modules/about-the-ministry/CCD/
11. ALBA Countries

The Bolivarian Alliance for the Peoples of Our America (Spanish: Alianza
Bolivariana para los Pueblos de Nuestra Amrica, or ALBA) is an international
cooperation organisation based on the idea of social, political, and economic
integration between the countries of Latin America and the Caribbean. The
member Parties are Antigua and Barbuda, Bolivia, Cuba, Dominica, Ecuador,
Nicaragua, Saint Vincent and the Grenadines and Venezuela.
For ALBA views on climate change, please check the

following link:
http://www.alianzabolivariana.org/modules.php?name=News&
new_topic=9
4.2. Other groups

Group of Mountain Landlocked Developing Countries (MLDC)
This negotiating group was formally established in June 2010 by the
governments of Armenia, Kyrgyzstan and Tajikistan, focusing on issues faced
by
landlocked
mountain
developing
countries
specifically
vulnerable
___________________________________________________________________________________________________
71
to

transportation costs and food insecurity, with a view towards expanding the
group to include other interested countries.
CACAM
The countries of Central Asia, the Caucuses, Albania and Moldova (CACAM) are
non-Annex I countries, but do not consider themselves developing countries
and are not part of the G-77. They have consequently asked the COP for a
clarification of their status under the Convention. CACAM occasionally makes
joint statements.
Coalition for Rainforest Nations
This is a voluntary grouping of largely developing nations with rainforests
which addresses issues surrounding environmental sustainability specific to
tropical rainforests. Participation does not necessarily imply that countries
adhere to any specific domestic policies or negotiating positions within the
international context.
In December 2013, the group included Argentina, Bangladesh, Belize,
Cameroon, Central African Republic, Chile, Congo, Costa Rica, Cote d' Ivoire,
DR Congo, Dominica, Dominican Republic, Ecuador, Equatorial Guinea, El
Salvador, Fiji, Gabon, Ghana, Guatemala, Guyana, Honduras, Indonesia,
Jamaica, Kenya, Lesotho, Liberia, Madagascar, Malaysia, Nicaragua, Nigeria,
Pakistan, Panama, Papua New Guinea, Paraguay, Samoa, Sierra Leone,
Solomon
Islands,
Suriname,
Thailand,
Uruguay,
Uganda,
Vanuatu
and
Vietnam. Countries participate on a voluntarily basis primarily through unified

negotiating positions, workshops and collaborative programmes.
Visit the following website to learn more on the group.
Coalition for Rainforest Nations:
http://www.rainforestcoalition.org/
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72

Lesson 5: Institutional Arrangements and

Practice of the UNFCCC and Kyoto Protocol
Learning Objectives Lesson 5
The learner will be able to identify the roles and rules of procedure of
the institutions and bodies under the UNFCCC and Kyoto Protocol, such
as the Conference of the Parties, the Subsidiary Bodies, the Secretariat,
the Executive Board of the CDM, the JI Supervisory Committee, the
Compliance Committee, ad hoc working groups and specialised bodies.
1. Introduction
Several institutions and bodies work within the framework of the Convention
and the Protocol. These include those established by the Convention the
Conference of the Parties to the Convention (COP), the Conference of the
Parties serving as the meeting of the Parties to the Kyoto Protocol (CMP), the
subsidiary bodies (SBs), the Bureau and the secretariat. They also include
other bodies established by the COP, in accordance with Article 7.2(i) of the
Convention: committees, working groups and expert bodies. Those established
under the Protocol include the executive Board of the CDM, the JI Supervisory
Committee, the Adaptation Fund Board and the Compliance Committee.
In this lesson, the structure, powers and respective fields of work of these
institutions and bodies are discussed. These have been shaped by Articles 7 to
10 of the Convention, by the draft rules of procedure of the COP, by the
practices and needs of the COP and/or CMP, and by a number of COP and/or
CMP decisions.
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73

Figure 7. COP-CMP Bodies, Source: http://unfccc.int/bodies/items/6241.php
2. The Conference of the Parties (COP)

The annual sessions of the COP are pivotal to multilateral climate change policy
and the negotiation process. These sessions bring together all countries that
are Parties to the Convention. Article 7.2 defines the COP as the supreme
body of the Convention, as its highest decision-making authority.
Box 4: The Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol
(COP/MOP)
In accordance with Article 13 of the Kyoto Protocol, the COP/MOP, will meet in conjunction with the COP.
Parties to the Convention that are not Parties to the Protocol participate in the COP/MOP as observers,
without the right to take part in decision-making (Kyoto Protocol Article 13.2). The functions of the
COP/MOP for the Protocol are similar to those carried out by the COP for the Convention.
The Bureau of the COP also serves the MOP. However, any member of the COP Bureau
representing a non-Party to the Kyoto Protocol has to be replaced by a member
representing a Kyoto Protocol Party.
At COP/MOP 1, one of the main outcomes was decision 1/CMP.1 Consideration of commitments for
subsequent periods for Annex I Parties to the Convention under Article 3.9 of the Kyoto Protocol,
whereby Parties decided to initiate a process to consider further commitments by Annex I Parties for the
period beyond 2012.
___________________________________________________________________________________________________
74

2.1.
According
Responsibilities
to
Article
7.2,
the
COP
is
responsible
for
reviewing
the
implementation of the Convention and any related legal instruments, and has
to make the decisions necessary to promote the effective implementation of
the Convention. In particular, its role is to (Article 7.2 of the Convention):
1. Periodically examine the obligations of the Parties and the institutional
arrangements under the Convention in light of the objective of the
Convention, the experience gained in its implementation and the
evolution of scientific and technological knowledge;
2. Promote and facilitate the exchange of information on measures adopted
by Parties to address climate change and its effects, taking into account
the differing circumstances, responsibilities and capabilities of the
Parties and their respective commitments under the Convention;
3. Facilitate, at the request of two or more Parties, the coordination of
measures adopted by them to address climate change and its effects,
taking into account the differing circumstances, responsibilities and
capabilities of the Parties and their respective commitments under the
Convention;
4. Promote and guide, in accordance with the objective and provisions of
the Convention, the development and periodic refinement of comparable
methodologies, to be agreed on by the Conference of the Parties, inter
alia, for preparing inventories of greenhouse gas emissions by sources
and removals by sinks, and for evaluating the effectiveness of measures
to limit the emissions and enhance the removal of these gases;
5. Assess, on the basis of all information made available to it in accordance
with the provisions of the Convention, the implementation of the
Convention by the Parties, the overall effects of the measures taken
pursuant to the Convention, in particular environmental, economic and
social effects as well as their cumulative impacts and the extent to which
progress towards the objective of the Convention is being achieved;
6. Consider and adopt regular reports on the implementation of the
Convention and ensure their publication;
___________________________________________________________________________________________________
75

7. Make
recommendations
on
any
matters
necessary
for
the
implementation of the Convention;

8. Seek to mobilise financial resources in accordance with Article 4,
paragraphs 3, 4 and 5, and Article 11;
9. Establish such subsidiary bodies as are deemed necessary for the
implementation of the Convention;
10.Review reports submitted by its SBs and provide guidance to them;
11.Agree upon and adopt, by consensus, rules of procedure and financial
rules for itself and for any subsidiary bodies;
12.Seek and utilise, where appropriate, the services and cooperation of,
and information provided by, competent international organisations and
intergovernmental and non-governmental bodies; and
13.Exercise such other functions as are required to achieve the objective of
the Convention as well as all other functions assigned to it under the
Convention.
In addition to decisions, the COP can produce other outcomes, such as
declarations or resolutions. These are non-binding political statements
intended to guide the work of the Convention or express the will of the COP.
For example, the Geneva Ministerial Declaration, which was acknowledged (but
not adopted) at COP 2, gave new momentum to the Kyoto Protocol
negotiations. At COP 4 and COP 6, Parties adopted resolutions of solidarity
with, Central America and Southern African countries, especially Mozambique,
respectively, following devastating extreme weather in those regions. More
often, resolutions contain expressions of gratitude to countries that host COP
sessions.
___________________________________________________________________________________________________
76

2.2.
COP Meetings
Source: http://unfccc.int/2860.php
In accordance with Article 7.4 and Rule 4 of the draft rules of procedure, the
COP meets annually unless the Parties decide otherwise. Additional COP
sessions may be held if the COP deems it necessary, or if a Party submits a
written request that is supported by at least one third of the Parties within six
months (Article 7.5). An extraordinary session is held no later than 90 days
after the request has received the required support (draft rules of procedure,
Rule 4). No such extraordinary session has yet been held (in the case of COP
6, Part II was a resumed session, held between 13 and 27 July 2001, in Bonn).
The sessions of the COP usually last two weeks, and are often held in parallel
with sessions of the Subsidiary Body for Scientific and Technological Advice
(SBSTA), the Subsidiary Body for Implementation (SBI) and other groups (e.g.
Ad hoc Working Groups). In general, a few thousand participants attend these
sessions, including government delegates and observers (members of civil
society and nongovernmental organisations).
The figure below provides an overview of the attention generated by the COP
meetings. Note that, so far, the Copenhagen Climate Change conference of
2009 (COP15, CMP5) attracted the largest number of participants in the history
of these negotiations.
___________________________________________________________________________________________________
77

Figure 8: Participation breakdown

Source: http://unfccc.int/files/parties_and_observers/ngo/application/pdf/participation_breakdown_cop119.pdf
In accordance with Rule 4 of the draft rules of procedure, the dates of a COP
session are usually scheduled at the previous session. The COP venue is the
seat of the secretariat in Bonn unless a Party offers to host the session, which
has usually been the case. Traditionally, the venue rotates among the five
United Nations regional groups (Africa, Asia, Central and Eastern Europe, Latin
America and the Caribbean states, Western Europe and others). No later than
two months before the session, the secretariat notifies the Parties of its dates
and venue (draft rules of procedure, Rule 5). In practice, the participants are
informed early in the year so that they can start planning.
For each COP session, the secretariat drafts a provisional agenda in agreement
with the President (draft rules of procedure, Rule 9) respecting any work plan
of agenda items established by previous COP and SBs decisions. Rule 10 of the
draft rules of procedure regulates what the provisional agenda should include.
In accordance with Rule 11 of the draft rules of procedure, the secretariat
makes the provisional agenda available to Parties in all six United Nations
___________________________________________________________________________________________________
78

languages (Arabic, Chinese, English, French, Russian and Spanish) at least six
weeks before the session. If Parties propose additional items for the provisional
agenda after it has been produced (but before the session has been opened),
the secretariat in agreement with the President includes such items in a
supplementary provisional agenda (draft rules of procedure, Rule 12). Parties
may also request changes to the provisional agenda on the first day of the
session. During the adoption of the agenda, Parties may decide to add, delete,
defer or amend items. Only items which the COP considers urgent and
important may be added (draft rules of procedure, Rule 13). The provisional
agenda of an extraordinary session consists of the items included in the
request to hold such a session (draft rules of procedure, Rule 14).
CMP meetings work under the same rules as COP meetings.
The agenda of the two week COP meeting is broken down to daily
programmes, which is an indispensable document for delegates attending the
negotiations. The Daily Programme is the official guide to each day's official
meetings. It also provides an overview of the status of the previous day's
negotiations. To read an example, click on the link below.
For daily programmes of COP 19/CMP 9 visit the link below:
http://unfccc.int/meetings/warsaw_nov_2013/meeting/7649/php/view/d
ailyprogramme.php
2.3.
Plenary sessions of the COP
The plenary sessions of the COP are also crucial to the negotiation process.
They are held in public, unless the COP decides otherwise, which has not yet
happened. The official United Nations languages are also the official languages
of the COP. Parties making statements in a non-official language must provide
for their interpretation into an official language. Plenary sessions are normally
broadcast live on the internet, and recordings are stored by the secretariat in a
web archive. Audio recordings of the proceedings are made and kept by the
secretariat.
___________________________________________________________________________________________________
79

CMP plenary sessions work under the same rules as COP plenary sessions. To
watch a session, click on the link below.
To watch COP/CMP President informal plenary

from 23 November 2013, Warsaw, click on the link:
http://unfccc4.metafusion.com/kongresse/cop19/templ/play.php?id_kongresssession=
7702&theme=unfccc
It is necessary to note the practice during negotiations to establish contact

groups. Contact groups are open-ended meetings that may be established by
the COP, a subsidiary body, or a Committee of the Whole wherein Parties may
negotiate before forwarding agreed text to a plenary for formal adoption.
Observers generally may attend contact group sessions.
It
is
also
possible
to
establish
informal
contact
groups
when
group of delegates is instructed by the President or a Chair to meet in private

to discuss a specific matter in an effort to consolidate different views, reach a
compromise, and produce an agreed proposal, often in the form of a written
text.
In addition, drafting groups can be established as well. A drafting group is a
smaller group established by the President or a Chair of a Convention body to
meet separately and in private to prepare draft text, which the full collection of
Parties may formally approve later in a plenary session. Observers generally
may not attend drafting group meetings.
2.4.
COP President
The office of the COP President normally rotates among the five United Nations
regional groups. The President is usually the environment minister of the COP
___________________________________________________________________________________________________
80

host country. She/he is elected by acclamation immediately after the opening

of a COP session.
Their role is to facilitate the work of the COP and promote agreements among
Parties. Accordingly, the rules of procedure stipulate that the President remains
under the authority of the COP and that he or she must remain impartial and
not exercise the rights of a representative of a Party. The COP presidency is
also the CMP presidency.
H.E. Mr. Marcin Korolec

President of COP 19/CMP9
2.5.
Bureau
The work of the COP, CMP and each subsidiary body is guided by an elected
Bureau. To ensure continuity, it serves not only during sessions, but also
between sessions.
The Bureau consists of 11 officers: the COP/CMP President, seven VicePresidents, the Chairs of the two subsidiary bodies, and a Rapporteur. The
Vice-Presidents routinely preside during the high-level segment while the
President is engaged in negotiations with Parties on controversial issues,
frequently at ministerial level. The Rapporteur is responsible for preparing the
report of the session.
___________________________________________________________________________________________________
81

The five United Nations regional groups each nominate two members, and one
place is reserved for a representative of Small Island Developing States
(SIDS).
The Bureau is elected annually by the COP from the Party representatives. Its
members may be re-elected for a second one-year term, and exceptions have
been agreed in the past to allow Bureau members to serve for three years. If
an officer resigns or is otherwise unable to perform the assigned task, the
Party or region concerned may name a representative as a replacement.
Neither the Convention nor the draft rules of procedure define the functions of
the Bureau. Instead, practice has shaped its role and operational procedures.
It deals mainly with procedural and organisational issues arising from the
COP/CMP, and advises the President. In addition, the Bureau has other
technical functions, such as examining the credentials of Party representatives
and reviewing in cooperation with the secretariat requests for accreditation
by
nongovernmental
organisations
(NGOs)
and
intergovernmental
organisations (IGOs).
3. Subsidiary Bodies (SBs)

The Convention establishes two permanent subsidiary bodies (SBs), namely
the
Subsidiary
Body
for
Scientific
and
Technological
Advice
(SBSTA),
established by Article 9, and the Subsidiary Body for Implementation (SBI),

established by Article 10. These bodies advise the COP and CMP. In accordance
with Articles 9.1 and 10.1, they are both multidisciplinary bodies open to
participation by any Party, and governments send representatives with
relevant expertise.
The SBSTA and the SBI, whose respective fields of work are discussed in the
following sub-sections, are the main working bodies of the Convention. They
meet twice a year for one or two weeks; the first time normally in mid-year
and the second in conjunction with the COP and CMP. Given the more technical
nature of their work, they tend to involve technical specialists rather than high___________________________________________________________________________________________________
82

level political negotiators, and attract somewhat fewer participants (around

1,500) than the COP and CMP. The ways of organising the work of the SBs are
similar to those described above for the COP and CMP.
The sessions of the SBs are important events in the climate change process
but only the COP or CMP makes decisions. The main products of the SBSTA
and SBI are therefore recommendations for draft decisions, which are then
forwarded to the COP or CMP for consideration and adoption. In addition, the
SBs can adopt conclusions, which are included in their meeting reports. Like
the COP and CMP, the SBSTA and SBI each have a Bureau. They consist of a
Chair, a Vice-Chair and a Rapporteur, who all perform similar functions to their
counterparts on the COP and CMP Bureau and usually serve for two years. The
Chair, the Vice-Chair and the Rapporteur are elected according to the principle
of equitable geographic representation.
3.1.
Division of responsibilities between the SBSTA and SBI
The Convention lays down the general distribution of tasks to the SBs (Article 9
for the SBSTA and Article 10 for the SBI) and the COP has further defined their
areas and divisions of work.
The division of tasks has also further evolved during the Convention process.
In general terms, the SBSTA functions as the link between the scientific,
technical and technological assessments of information provided by competent
international bodies, and the policy-oriented needs of the COP or CMP, while
the SBI develops recommendations to assist the COP or CMP in its review and
assessment of the implementation of the Convention and in the preparation
and implementation of its decisions (decision 6/CP.1).
While there are some areas of work that clearly lie within the responsibility of
one SB (such as methodological issues for the SBSTA, or administrative and
financial matters for the SBI), the SBSTA and SBI cooperate on a number of
cross-cutting issues that require the sharing of technical expertise from both
bodies. In the interest of efficiency, it is, however, generally preferable for one
___________________________________________________________________________________________________
83

body to take ultimate responsibility for any one issue. Where no overall
responsibility for an issue is assigned to either body, agendas are organised to
avoid having both SBs dealing with the same issue in parallel sessions
(decision 13/CP.3).
3.2.
Subsidiary Body for Scientific and Technological Advice

(SBSTA)
The SBSTAs task is to provide the COP and CMP and, as appropriate, its other
subsidiary bodies with timely advice on scientific and technological
matters relating to the Convention (Article 9.1). More specifically, the
Convention and decision 6/CP.1 assign the following tasks to the SBSTA:
To provide assessments of the state of scientific knowledge of climate

change and its effects (Article 9.2(a)) to the COP by reviewing the latest
relevant information provided by competent bodies such as the IPCC,
and, as far as possible, evaluating its implications;
To prepare scientific assessments of the effects of measures taken in

implementing the Convention (Article 9.2(b)) by compiling in-depth
reports on national communications, and making recommendations on
technical aspects of the review process;
To identify innovative, efficient and state-of-the-art technologies and

know-how, and to advise on how to promote their development and/or
transfer (Article 9.2(c)) by ensuring that information is collected and
disseminated efficiently, and by providing advice and evaluation of the
status of their ongoing development and/or transfer according to need
under the Convention;
To advise on scientific programmes, international cooperation in research

and development and on supporting capacity-building in developing
countries (Article 9.2(d)), and to assist the Parties in implementing
Article 5 and Article 6 of the Convention, by ensuring that information on
related international initiatives is collected and disseminated. In addition,
___________________________________________________________________________________________________
84

the provision of advice on education programmes, human resources and

training, and on the promotion of such initiatives, as well as the
evaluation of ongoing efforts in this field according to need under the
Convention;
To respond to scientific, technological and methodological questions that

the COP and the SBI may put to it throughout the year (Article 9.2(e)).
In the context of this last task, the SBSTA works on developing, improving and
refining comparable methodologies for national inventories and projections of
emissions and removals of GHGs and for evaluating the effects of measures
undertaken to implement the Convention on a regional and national level. By
clicking on the link below, you can watch a meeting of the SBSTA from
Warsaw.
To watch a SBSTA meeting, click on the link:

1st meeting, 11 November 2013, Warsaw
9&theme=unfccc
3.3.
Subsidiary Body for Implementation (SBI)
The SBIs task is to assist the COP and CMP in the assessment and review
of the effective implementation of the Convention (Article 10.1). More
specifically, the Convention and decision 6/CP.1 assign the following tasks to
the SBI:
To consider the information communicated by all Parties in accordance

with Article 12.1, in order to assess the overall aggregate effect of the
steps taken in the light of the latest scientific assessments of climate
change (Art. 10.2(a));
___________________________________________________________________________________________________
85

To consider the information communicated by Annex I Parties, in

accordance with Article 12.2, in order to assist the COP in reviewing of
the adequacy of commitments as required by Article 4.2(d) (Art.
10.2(b));
To assist the COP, as appropriate, in preparing and implementing its

decisions (Art. 10.2(c)).
In the context of this last task, the SBI reviews the financial mechanisms of
the Convention, which are established to assist developing countries in
implementing their commitments under the Convention. It also has to make
recommendations to the COP or CMP on possible responses to the findings of
the review on the adequacy of commitments.
UNFCCC Secretariat Katia Simonova and SBI Chair Thomasz Chruszczow, Poland
Source: http://www.iisd.ca/climate/cop18/enb/
Courtesy of IISD/Earth Negotiations Bulletin
To view a SBSTA meeting, click on the link below:

1st meeting, 11 November, 2013, Warsaw
8&theme=unfccc
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86

3.4 Working Group (AWGs)

COP and CMP can establish Ad Hoc working groups for discussion and
consideration of specific issues. Until 2012, there have been 3 Ad Hoc working
groups, whereas from 2013 onwards only the AWG-ADP will continue
introducing a new phase of negotiations. The dynamics of the negotiations are
expected to change by overriding certain divisions formally present between
the two tracks into a more united framework aiming at a new global
agreement covering both developed and developing countries.
Ad Hoc Working Group on Further Commitments for Annex I

Parties under the Kyoto Protocol (AWG-KP): a subsidiary body that
was established by decision 1/CMP.1 to discuss future commitments for
Annex I Parties under the Kyoto Protocol. The AWG-KP is to complete its
work and have its results adopted by the CMP as early as possible and in
time to ensure that there is no gap between the first and second
commitment periods. The AWG-KP completed its work by CMP 8 in
Doha, Qatar, at the end of 2012.
To know more about the AWG-KP, please check the

following link:
http://unfccc.int/bodies/body/6409.php
Ad hoc Working Group on Long-term Cooperative Action under

the Convention (AWG-LCA): a subsidiary body under the Convention
established by decision 1/CP.13 (the Bali Action Plan) to conduct a
comprehensive process to enable the full, effective and sustained
implementation of the Convention through long-term cooperative action,
now, up to, and beyond 2012, in order to reach an agreed outcome to
___________________________________________________________________________________________________
87

be presented to the COP for adoption. The AWG-LCA terminated its work
in 2012 at COP 18 (Doha).
To know more about the AWG-LCA, please check the

following link:
Ad Hoc Working Group on the Durban Platform for Enhanced

Action (AWG-ADP): responsible for a process to develop a protocol,
another legal instrument or an agreed outcome with legal force under
the Convention applicable to all Parties (that will be discussed in Module
VIII). The ADP is to complete its work as early as possible but no later
than 2015 in order to adopt this protocol, legal instrument or agreed
outcome with legal force at the twenty-first session of the COP and for it
to come into effect and be implemented from 2020.
To learn more about the AWG-ADP, check the following
link:
The ADP held the third part of its second session from 12 to 23 November
2013 in Warsaw, Poland. For more information on the meeting, including its
agenda, click on the link below.
ADP second session:

http://unfccc.int/meetings/warsaw_nov_2013/session/7730.php
4. The Secretariat
The secretariat, also known as the Climate Change Secretariat, services the
COP, CMP, the SBs, the Bureau and other bodies established by the COP. Its
___________________________________________________________________________________________________
88

mandate is given by Article 8 of the Convention. Specific tasks of the

secretariat include preparing official documents for the COP, CMP and the SBs,
coordinating in-depth reviews of Annex I Party national communications and
compiling GHG inventory data. It also carries out tasks that are specified in the
programme of work that is adopted by the COP or CMP and other tasks decided
by the COP or CMP.
The secretariat also services the bodies established by the Kyoto Protocol. The
expansion of the technical work undertaken by the bodies since the adoption of
the Kyoto Protocol (e.g. on reporting guidelines and the LULUCF sector) has
meant that the technical expertise incorporated within the secretariat has also
had to broaden substantially.
The secretariat is institutionally linked to the United Nations and administered
under United Nations rules and regulations. Its head, the Executive Secretary,
is appointed by the Secretary-General of the United Nations in consultation
with the COP through its Bureau, and currently holds the rank of AssistantSecretary-General. The Executive Secretary reports to the Secretary-General
through the Under-Secretary-General heading the Department of Management,
regarding administrative and financial matters, and through the UnderSecretary-General heading the Department for Economic and Social Affairs,
regarding matters of all other concern.
Christiana Figueres, Executive Secretary UNFCCC

Source: http://unfccc.int/meetings/doha_nov_2012/meeting/6815.php
Watch this video with Cristiana Figueres, UNFCCC Executive Secretary, to get
further insights to the Secretariat.
___________________________________________________________________________________________________
89

Press briefing of the UNFCCC Executive Secretary, click

on the link, Press briefing at COP19/CMP9 Warsaw, 23
November 2013:
5&theme=unfccc
The secretariat is accountable, through the Executive Secretary, to the COP

and CMP. Every two years, the Executive Secretary proposes a programme
budget, setting out the main tasks to be performed by the secretariat in the
coming two-year period and the funding needed to carry out this work.
5. Limited-membership bodies
In the framework of the Convention, several specialised bodies with a limited
membership have been established to address specific areas, including:
The Expert Group on Technology Transfer (EGTT);
The Consultative Group of Experts on National Communications from

Parties not included in Annex I to the Convention (Consultative Group of
Experts, or CGE); and
The Least Developed Countries Expert Group (LEG).
These groups have been set up on an ad hoc and temporary basis. Their
mandate and possible continuation is subject to review by the COP. The nature
of their work is technical; their conclusions and recommendations must be
reported either to the SBSTA or the SBI.
5.1 Expert Group on Technology Transfer (EGTT)
The central task of the EGTT, launched by the Marrakesh Accords at COP 7 in
2001 (4/CP.7), has been to provide scientific and technical advice to move
forward the development and transfer of environmentally friendly technologies
under the Convention. The group comprises of 20 experts, including three
developing country members each from Africa, Asia and the Pacific, and Latin
America and the Caribbean; one member from the Small Island Developing
___________________________________________________________________________________________________
90

States (SIDS); seven members from Annex I Parties; and three from relevant
international organisations.
The EGTT has met twice a year, in conjunction with the SBs, and reports to the
SBSTA. At its thirteenth session, the COP agreed to reconstitute the Expert
Group on Technology Transfer for a further five years with new terms of
reference, and to review, at its eighteenth session, progress on the work and
terms of reference, including, if appropriate, the status and continuation of this
body. It was also agreed that the Expert Group on Technology Transfer should
provide advice as appropriate to the subsidiary bodies. The EGTT completed its
work in 2010.
5.2 Consultative Group of Experts on National Communications from
Non- Annex I Parties (CGE)
The CGE was set up by COP 5 in 1999 (8/CP.5) to help improve the process of
preparing national communications from non-Annex I Parties. It meets no
more than twice a year, in conjunction with sessions of the SBs, and holds
workshops to gather regional expertise. If considered necessary, and funds are
available, ad hoc meetings may be convened in consultation with the Chair of
the SBI. The CGE reports to the SBI.
The COP, at its eighth session, reviewed the terms of reference of the CGE. In
recognition of the excellent role that the CGE played in assisting non-Annex I
Parties in the improvement of the process of the preparation of their national
communications, the COP decided to continue the mandate of the CGE for 5
years and revised its terms of reference. Under this mandate, the objective of
the CGE was to improve the process of the preparation of the second and
subsequent national communications, by providing technical advice and
support to non-Annex I Parties. This mandate expired at COP 13 (December
2007).
At its fifteenth session, the COP, by its decision (5/CP.15), reconstituted the
CGE for three years from 2010 to 2012, and mandated the Group to develop
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91

its work programme at its first meeting which was held in Bonn, Germany,
from 29 to 31 March 2010.
At its eighteenth session, the COP, by decision 18/CP.18, decided to extend for
a term of one year the CGE, including its current membership. The COP also
decided that the CGE, in fulfilling its mandate, shall function in accordance with
the terms of reference contained in the annex to decision 5/CP.15. As
requested by the COP, the CGE was to develop at its first meeting in 2013 a
work programme for 2013 (FCCC/SBI/2013/7), taking into account the current
and future needs of non-Annex I Parties, the provisions under the Convention
and the relevant decisions of the COP. In developing its work programme, the
group was cognisant of the importance of, and need to have, a pragmatic and
realistic work programme that caters to the needs of non-Annex I Parties. It
therefore agreed that the focus of the provision of technical assistance to nonAnnex I Parties in 2013 should be on the preparation of BURs by non-Annex I
Parties.
The CGE comprises of 24 members drawn from a roster of experts, namely five
experts from the United Nations regions Africa, Asia, and Latin America and
the Caribbean, six experts from Annex I Parties, including one from a country
with
an
economy
in
transition,
and
three
experts
from
international
organisations with relevant experience. The regions appoint the experts to

ensure geographical balance and the secretariat selects the experts from each
international organisation.
To facilitate its work, the CGE set up the following four thematic groups:
national GHG inventories, vulnerability and adaptation assessments, mitigation
and cross-cutting issues which include research and systematic observation,
technology
transfer,
capacity-building,
education,
training
and
public
awareness, information and networking, and financial and technical support.
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5.3 Least Developed Countries Expert Group (LEG)

The LEG, established as part of the Marrakesh Accords, has as its objective to
advise LDCs on preparing and implementing national adaptation programmes
of action (NAPAs) to meet their urgent and immediate adaptation needs
(29/CP.7). In 2003, COP 9 extended the groups mandate for another two
years under unchanged terms of reference (see decision 7/CP.9), and in 2005,
COP 11 extended the mandate for an additional two years with the same terms
of reference (see decision 4/CP.11). The current end of term date is COP 21.
The LEG is composed of 12 experts, including five from African LDC Parties,
two from Asian LDC Parties, two from small island LDC Parties, and three from
Annex II Parties. COP 9 decided that new experts could be selected or current
members of the group could continue to serve, as determined by the
respective regions or groups. In order to ensure linkages between the LEG and
the CGE on adaptation issues, at least one member of the LEG from an LDC
and one from an Annex II Party are also members of the CGE. The Parties
select the experts from their respective regions or groups. The LEG meets
twice a year and is chaired by a representative from an LDC, who is elected for
a one-year term. A Vice-President and two Rapporteurs are also elected from
an LDC. Members of the group serve in their personal capacity and are not
allowed to have
pecuniary or financial interests in the
issues under
consideration by the group. The LEG reports to the SBI.

5.4
Adaptation Committee
The Adaptation Committee was established by the COP at its sixteenth session
as part of the Cancun Agreements (decision1/CP.16) to promote the
implementation of enhanced action on adaptation in a coherent manner under
the Convention, inter alia, through various functions. Its work was launched at
COP 17, Durban. COP 18 in Doha approved the three-year work plan of the
Committee. It is composed of 16 members. See Module V for details.
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93

To learn about the members of the Adaptation Committee,

visit the link:
http://unfccc.int/adaptation/cancun_adaptation_framework/adap
tation_committee/items/6944.php
5.5
Standing Committee on Finance
The mandate of the Standing Committee is to assist the COP in exercising its
functions with respect to the financial mechanism of the Convention in terms of
the following: improving coherence and coordination in the delivery of climate
change financing; rationalisation of the financial mechanism; mobilisation of
financial resources; and measurement, reporting and verification of support
provided to developing country Parties. It was established by the COP at its
sixteenth session (Cancun, 2010) by decision 1/CP.16. Its roles and functions
were further defined and its composition and working modalities elaborated on
at COP 17 (Durban). COP 18 in Durban decided to change its name to Standing
Committee on Finance. It will be discussed in detail in Module VI.
To learn more about the latest developments visit the

following link:
http://unfccc.int/cooperation_and_support/financial_mechanism/
standing_committee/items/6877.php
5.6
Technology Executive Committee
The Technology Executive Committee (TEC), together with the Climate

Technology Centre and Network (CTC/N), consistent with their respective
functions, is mandated to facilitate the effective implementation of the
Technology Mechanism, under the guidance of the COP. The TEC was
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94

established by the COP at its sixteenth session in 2010 in Cancun (see Decision
1/CP.16).
The TECs main function is to consider and recommend actions that promote
technology development and transfer, which in turn accelerates action on
mitigation and adaptation. It works at the international, regional and national
level through collaborations with relevant stakeholders including governments,
relevant international and regional organisations, the private sector, non-profit
organisations, academic and research communities to support action on
mitigation and adaptation on the ground.
You will learn in depth about the Technology Mechanism, of which the TEC is
one component in Module VII.
To learn more about the latest developments visit the

following link:
http://unfccc.int/focus/technology/items/7000.php
6. Constituted Bodies under the Kyoto Protocol

6.1 Clean Development Mechanism (CDM) Executive Board
The CDM Executive Board supervises the CDM under the Kyoto Protocol and
prepares decisions for the CMP. It undertakes a variety of tasks relating to the
day-to-day operation of the CDM, including the accreditation of operational
entities.
COP 7, by decision 17/CP.7, adopted Modalities and procedures for a clean
development mechanism as defined in Article 12 of the Kyoto Protocol, which
established the CDM Executive Board. It has wide-ranging responsibilities to
supervise the CDM under the authority and guidance of the CMP, to whom it
has to be fully accountable. Before the entry into force of the Kyoto Protocol
in 2005, the COP exercised this authority. The CMP confirmed the decisions
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95

taken by the COP on the CDM Executive Board in decision 4/CMP.1 The
Executive Board undertakes a variety of tasks relating to the day-to-day
operation of the CDM, including the accreditation of operational entities,
pending their formal designation by the CMP.
It is made up of 10 members, including one from each of the five United
Nations regional groups, one from the SIDS, and two members each from
Annex I and non-Annex I Parties. Members serve in their personal capacity.
Only representatives from countries that have become Parties to the Kyoto
Protocol are eligible to serve. Each member is accompanied by an alternative
member from the same constituency. The CDM Executive Board held its first
meeting after the close of COP 7 on 11 November 2001.
To learn more about the Executive Board visit the following
link:
http://cdm.unfccc.int/EB/index.html
6.2 Joint Implementation Supervisory Committee

The Joint Implementation Supervisory Committee (JISC), under the authority
and guidance of the CMP, inter alia, supervises the verification of emission
reduction units (ERUs) generated by JI projects following the verification
procedure under the JISC.
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96

Source:
http://www.undp.org.ua/en/media/42-energy-and-environment/848-undp-helps-organize-unfccc-
joint-implementation-committee-meeting-in-ukraine
6.3 Compliance Committee

The Kyoto Protocol compliance mechanism is designed to strengthen the
Protocols environmental integrity, support the carbon markets credibility and
ensure transparency in the accounting of emissions by Parties. Its objective is
to facilitate, promote and enforce parties compliance with their commitments
under the Protocol. It will be further discussed in Module III.
CMP 1, by decision 27/CMP.1, adopted the procedures and mechanisms
relating
to
compliance,
including
the
establishment
of
Compliance
Committee. The procedures and mechanisms relating to compliance provide

that the members of the Committee are elected by the CMP and serve in their
individual capacities.
The Committee functions through a plenary, a bureau, a facilitative branch and
an enforcement branch. The facilitative branch aims to promote compliance,
and may facilitate technical and financial advice, including technology transfer
and capacity building. It may also make recommendations to Parties. The
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97

enforcement branch is responsible for determining whether a Party is

complying with its obligations, and for determining consequences for Parties if
they are not, and, in the event of a disagreement between an expert review
team and a Party, is responsible for whether to apply an adjustment to an
inventory or a correction to the compilation and accounting database for
assigned amounts.
The Committee is made up of 20 members, with 10 serving in the facilitative
branch and 10 in the enforcement branch, each of which also have a
designated alternative member. The composition of each branch is the same as
the CDM Executive Board; that is, one member from each of the five regional
groups, one from the SIDS, and two members each from Annex I and nonAnnex I Parties.
The plenary consists of the members of the two branches, with the chairman
and vice-chairman of each branch making up the bureau. The plenary reports
on the activities of the Committee to the CMP, and submits proposals on rules
of procedure, administrative and budgetary matters. It also applies the general
policy guidance received from the CMP.
6.4
Article 6 Supervisory Committee
CMP 1, by its decision 9/CMP.1, established an Article 6 Supervisory

Committee to verify emission reduction units (ERUs) that are to be transferred
and acquired according to Article 6 of the Kyoto Protocol. This decision
establishes detailed Guidelines for the implementation of Article 6 of the Kyoto
Protocol (Article 6 guidelines) setting out the duties of the Committee and the
manner in which it must discharge them. The Committee will oversee a
verification procedure for ERUs generated by joint implementation projects in
host countries that are not fully meeting eligibility requirements relating to
methodological and reporting obligations. The Article 6 Supervisory Committee
is composed of 10 members, each of which also has a designated alternative
member, including three from the EITs, three from Annex I Parties that are not
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98

EITs, three from non-Annex I Parties and one from the SIDS. Members serve
in their personal capacity.
Bonn, 2005
6.5 Adaptation Fund Board
The Adaptation Fund was established to finance concrete adaptation projects

and programmes in developing country Parties to the Kyoto Protocol that are
particularly vulnerable to the adverse effects of climate change.
The Adaptation Fund is financed from the share of proceeds on the clean
development mechanism (CDM) project activities and other sources of
funding. The share of proceeds amounts to 2% of certified emission reductions
(CERs) issued for a CDM project activity.
The Adaptation Fund is supervised and managed by the Adaptation Fund
Board (AFB). The AFB is composed of 16 members and 16 alternates
and meets at least twice a year. Upon invitation from Parties, the Global
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99

Environment Facility (GEF) provides secretariat services to the AFB and the
World Bank serves as trustee of the Adaptation Fund, both on an interim basis.
Source:https://www.adaptation-fund.org/
Adaptation will be further discussed in Module V.
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100

Lesson 6: Cooperation and Participation of

Organisations and Observers
Learning Objectives Lesson 6:
The learner will be able to appreciate how the Convention institutions
cooperate with other international organisations and bodies, specifically
with the United Nations, the Intergovernmental Panel on Climate
Change (IPCC), the Global Environmental Facility (GEF), and with
Observer organisations and the media.
1. Introduction
The Convention calls on the COP to seek and utilise the services and
cooperation
of,
and
information
provided
by,
competent
international
organisations and intergovernmental and non-governmental bodies (Article

7.2 (l)) in order to promote the implementation of the Convention. To this end,
the COP and its SBs cooperate with other international organisations.
The Convention institutions cooperate with other international organisations
and bodies, specifically with the
The United Nations;
The Intergovernmental Panel on Climate Change (IPCC);
The Global Environmental Facility; and
Participation of Observer organisations and the media.
2. Cooperation with the United Nations

The mandate to negotiate a Framework Convention on Climate Change
originated in the United Nations General Assembly (UNGA), with its resolution
45/212 of 21 December 1990 entitled Protection of global climate for the
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101

present and future generations of mankind. The resolution established an

Intergovernmental Negotiating Committee. Conference servicing facilities were
provided by the Office of Conference Affairs in New York throughout the
negotiations until the adoption of the Convention, at which point they were
transferred to the United Nations Office in Geneva (UNOG). The negotiating
process was organised and conducted under United Nations rules and several
national delegations were headed by their Permanent Representatives to the
UN in New York.
After negotiating the Convention, Parties agreed to continue the link between
the Convention secretariat and the United Nations. The institutional linkage
was initially approved by the COP in April 1995 (decision 14/CP.1) and by the
UNGA in December 1995 (resolution 50/115). This
linkage has been
successively confirmed and continued by the COP and the UNGA through
decisions and resolutions since then.
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102

3. Cooperation with the Intergovernmental Panel on Climate

Change (IPCC)
The IPCC is not an institution of the Convention, but it contributes important
scientific information to the climate change process. It was established before
the adoption of the Convention, in 1988, by the United Nations Environment
Programme (UNEP) and the World Meteorological Organisation (WMO) to
provide an authoritative source of up-to-date interdisciplinary knowledge on
climate change. It does not carry out its own research but comprehensively
assesses the scientific, technical and socio-economic information on climate
change that is available around the world in peer-reviewed literature, journals,
books and other sources. The IPCC is open to all members of the United
Nations and WMO. Its secretariat is in the WMO headquarters in Geneva.
3.1.
Structure
Thousands of scientists all over the world contribute to the work of the IPCC on
a voluntary basis as authors, contributors and reviewers. No one receives any
form of remuneration from the IPCC. Their work is supported by a central IPCC
Secretariat, whose role is to plan, coordinate and oversee all IPCC activities,
and by the Technical Support Units of the Working Groups and Task Force.
The IPCC is currently structured in three Working Groups:
Working Group I addresses the scientific basis of climate change,
Working Group II deals with matters concerning impacts, vulnerability

and adaptation and
Working Group III deals with mitigation activities and strategy building.
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103

Figure 9: How the IPCC is organized.

Source: IPCC website: http://www.ipcc-wg3.de/organization-and-tsu/ipcc/about-ipcc
The IPCC also includes a Task Force on National Greenhouse Gas Inventories,
which was established in 1996.
3.2.
The
IPCC
IPCC Assessment reports and other publications

is
best
known
for
its
comprehensive
assessment
reports,
incorporating findings from all three Working Groups, which are widely
acknowledged as authoritative sources of information on climate change. The
First Assessment Report (FAR) in 1990, confirming the scientific basis for
concern about climate change, helped launch negotiations on the Convention.
The Second Assessment Report (SAR) in 1995, which was made available to
COP 2 in 1996, provided a basis for the negotiations that led to the adoption of
the Kyoto Protocol. The Third Assessment Report (TAR), submitted to COP 7 in
2001, confirmed the findings of the SAR, providing new and stronger evidence
of a warming world. The Fourth Assessment Report (AR4) was released in
2007, and determined that warming of the climate system is unequivocal, and
that delay in reducing emissions significantly constrains opportunities to
achieve lower stabilisation levels and increase the risk of more severe climate
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104

change impacts. In response to the Fourth Assessment Report, the COP

adopted the Bali Action Plan. Nowadays, the IPCC is working in the Fifth
Assessment Report (AR5), which will provide an update of knowledge on the
scientific, technical and socio-economic aspects of climate change. It will also
be composed of three working group reports and a Synthesis Report (SYR).
The Summary for Policymakers of the Working Group I contribution to the Fifth
Assessment Report was approved, and the full report accepted, by the IPCC on
27 September 2013. The finalised version of the Summary for Policymakers
was published on 11 November 2013. The other Working Group (WG) Reports,
and Synthesis Report, will be completed in 2014.
AR5 outline and content can be found in:

http://www.ipcc.ch/pdf/ar5/ar5-outline-compilation.pdf
http://www.ipcc.ch/meetings/session32/syr_final_scopin
g_document.pdf
The IPCC also produces shorter special reports and technical papers on specific
issues, a number of them at the request of the COP or the SBSTA.
Special reports are produced under the guidance of one or more working
groups following the procedures that are used for writing and reviewing the
assessment reports. Technical papers are based on material that is already in
IPCC assessment reports and special reports. For instance, a technical paper
on interlinkages between climate change and biodiversity, released in 2002,
was prepared at the request of the CBD.
Through its Task Force on Inventories, the IPCC carries out important work on
methodologies for estimating and reporting GHG emissions. The IPCC 1996
Revised Guidelines for National Greenhouse Gas Inventories, for example, are
used by all Parties to prepare their annual emission inventories. In addition,
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105

the IPCC has developed guidance to help Parties deal with data uncertainties
and support the use of good practice in managing emission inventories.
4. Global Environment Facility (GEF)

The GEF was established by the World Bank, the United Nations Environment
Programme (UNEP) and the United Nations Development Programme (UNDP)
in 1991 to fund projects in developing countries that provide global
environmental benefits. It will be further discussed in Module VI.
The Parties to the Convention assigned operation of the financial mechanism to
the Global Environment Facility (GEF) on an ongoing basis, subject to review
every four years. The financial mechanism is accountable to the COP, which
decides on its climate change policies, programme priorities, and eligibility
criteria related to this convention, based on advice from the SBI.
Article 21.3 of the Convention states that the GEF should be appropriately
restructured and its membership made universal to enable it to fulfil the
requirements of Article 11. Article 11 of the Convention defines a mechanism
for the provision of financial resources on a grant or concessional basis,
including for the transfer of technology.
Article 11.2 specifically requires an equitable and balanced representation of
all Parties within a transparent system of governance. The Conventions call to
restructure the GEF was supported by Agenda 21 and the Convention on
Biological Diversity (CBD).
Restructuring was completed in March 1994 and documented by the GEF in a
report to the Intergovernmental Negotiating Committee (INC). The Instrument
for the Establishment of the Restructured GEF foresees a governance structure
including a Council, an Assembly and a Secretariat headed by a Chief Executive
Officer (CEO).
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106

All States may become members of the GEF. The structure was conceived with
the aim of ensuring a balanced representation of donor and recipient countries,
which is reflected in the Councils composition as well as in its voting rules. It
will be discussed in-depth in Module VI.
Source : http://www.undp.org/gef/
5. Participation of observer organisations and the media

A considerable number of COP participants are not representatives of Parties
but observers. General rules for their participation are laid down in the
Convention and the rules of procedure. They include United Nations bodies and
agencies
and
other
intergovernmental
organisations
(IGOs)
and
non-
governmental organisations (NGOs). Finally, the role of the media in the

climate change process is briefly addressed.
5.1.
Participation and rights of observers
Article 7.6 of the Convention provides that:

The United Nations, its specialised agencies and the International Atomic
Energy Agency, as well as any State Member thereof or observers thereto not
Party to the Convention, may be represented at sessions of the Conference of
the
Parties
as
observers.
Any
body
or
agency,
whether
national
or
international, governmental or non-governmental, which is qualified in matters

covered by the Convention, and which has informed the secretariat of its wish
to be represented at a session of the Conference of the Parties as an observer,
may be so admitted unless at least one third of the Parties present object. The
admission and participation of observers shall be subject to the rules of
procedure adopted by the Conference of the Parties.
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107

The participation of observers is regulated in further detail by Rules 6, 7, 8 and

30 of the draft rules of procedure. Rule 6 reaffirms the provisions of Article 7.6
regarding United Nations and United Nations-related bodies and agencies and
extends them to any international entity or entities entrusted with the
operation of the financial mechanism of the Convention, i.e. the Global
Environment Facility (GEF). Furthermore, such observers may, upon invitation
of the President, participate without the right to vote in the proceedings of any
session, unless at least one third of the Parties present at the session object.
Rule 7 addresses the participation of other organisations, encompassing both
IGOs and NGOs. While also reaffirming the provisions of Article 7.6 concerning
these organisations, it states that such observers may, upon invitation of the
President, participate without the right to vote in the proceedings of any
session in matters of direct concern to the body or agency they represent,
unless at least one third of the Parties present at the session object.
The participation of United Nations and United Nations-related bodies and
agencies thus follows rules different from those governing other observer
organisations, insofar as it does not require an admission procedure and is not
limited to sessions that deal with matters of direct concern to the respective
organisation.
Rule 8 provides for the secretariat to notify those entitled to be observers of
the date and venue of any session scheduled by the COP. Rule 30 stipulates
that meetings of the COP are to be held in public, and SB meetings in private
unless the COP decides otherwise. However, this rule also contains an
interpretative footnote specifying that duly accredited observers should also be
permitted to participate in private meetings. Decision 18/CP.4 regulates the
attendance of observers at open-ended contact groups. The presiding officers
of Convention bodies may invite representatives of both IGOs and NGOs to
attend as observers any open ended contact group established under the
Convention process, unless one third of the Parties present at the session of
the Convention body setting up that contact group object. However, the
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108

presiding officers of a contact group may close the group to observers at any
time.
Plenary sessions of the COP, CMP and AWGs regularly include statements from
observers. The COP/CMP President, the chairs of the SBs and the chairs of
contact groups may also permit interventions by observers on specific items
when deemed appropriate.
Between sessions, observer organisations may be invited to submit their views
on specific issues. While this is long-standing practice for IGOs, SBI 20 (June
2004) concluded that requests for submission of information and views could
be extended to NGOs where appropriate, on the understanding that such
submissions would not be issued as official documents, but would be made
available on the secretariat website only.
5.2.
IGOs
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109

Currently, more than 50 IGOs are admitted as observers. Some of them have
regularly provided statements to the COP or contributed in other ways to the
Convention process. Among these are the Organisation for Economic Cooperation and Development (OECD); the International Energy Agency (IEA);
the Organisation of Petroleum Exporting Countries (OPEC); and the Asian
Development Bank.
5.3.
NGOs
Currently, more than 750 NGOs are admitted as observers. In the course of
the Convention process, observer NGOs which share certain common interests
or perspectives
have
formed loose
groups known as constituencies.
Constituencies mainly serve to facilitate communication with the secretariat;

each has its focal point to channel this communication. However, this is an
informal arrangement that does not preclude other ways of communicating.
Currently the following six constituencies are acknowledged:
Business and industry NGOs (BINGOs) (already in existence before COP

1);
Environmental NGOs (ENGOs) (already in existence before COP 1);
Local government and municipal authorities (LGMAs) (since COP 1);
Indigenous peoples organisations (IPOs) (since COP 7);
Research-oriented and independent organisations (RINGOs) (since COP

9):
Trade Union Non-governmental Organisations (TUNGO) (since COP 14).
Unofficial constituencies include:
Youth non-governmental organisations (YOUNGO);
Farmers; and
Women and Gender.
Certain other types of observer organisations are not covered by these broad
groupings. This is true, for instance, for faith groups and parliamentarians.
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110

In addition to the formal arrangements regulating attendance and participation

of observers described above, other, less formal arrangements have been
made. Observers participating in workshops mandated by the COP or SBs, for
instance, are arranged individually for each workshop, depending on its nature
and purpose and the resources available. The chairs of the SBs, advised by the
workshop chairs, play a key role in deciding whether observers will be invited,
and how many there should be.
The
secretariat
has
issued
guidelines
for
the
participation
of
NGO
representatives to promote a harmonious atmosphere that favours discussion

and negotiation and to encourage observers to participate effectively. These
guidelines, which are based on current practice, are not exhaustive but cover
access, etiquette and safety, participation and information materials.
SBI 20 (June 2004) considered the current practice of admitting observer
organisations, in particular NGOs, and their participation, along with possible
ways of improving effectiveness. Recognising the importance of a more
balanced representation of NGOs, SBI 20 encouraged interested Parties to
support the attendance of NGOs from developing countries and countries with
economies in transition that lack the necessary resources to support their
participation.
The
SBI
agreed
to
continue
consideration
of
effective
participation of observers at future sessions.
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111

Figure 10 Cumulative admission of observer organisations

Source: http://unfccc.int/parties_and_observers/ngo/items/3667.php
5.4.
Participation of the Media
The media have an important role to play since they have the potential to raise
public awareness and to support the response of civil society in the light of the
challenges and risks they face as a result of climate change. Accredited
representatives of the press and broadcast media attend the sessions of the
COP, CMP, AWGs and SBs. They may attend (observe) official meetings, sideevents and press conferences, and conduct interviews with key officials in
order to gather information for reports and feature articles to be used in print,
radio or television media. Press conferences and briefings are called by Parties,
NGOs and the secretariat during the sessions of the COP and CMP (especially
the higher-profile ones). These press conferences typically attract widespread
coverage on the worlds television networks, radio, and in the press.
During COP 11 and CMP 1, for example, 825 media representatives from 230
media organisations were present. Journalists from developing countries are
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112

often supported by governmental and intergovernmental organisations to

attend COP sessions so as to promote media coverage of the climate change
issues in these countries.
Source: http://unfccc.int/media/items/5703.php
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113

Supporting Resources
UNFCCC Handbook: available at:

http://unfccc.int/essential_background/background_publications_htmlpdf/items
/2625.php
UNFCCC, 2007, Uniting on Climate

http://unfccc.int/resource/docs/publications/unitingonclimate_eng.pdf
UNFCCC webpage: http://unfccc.int
UNFCCC convention: text available

at:http://unfccc.int/essential_background/convention/background/items/2853.p
hp
UNFCCC, Kyoto protocol: text available at:

http://unfccc.int/kyoto_protocol/items/2830.php
UNDP, The outcomes of Copenhagen http://www.unngls.org/spip.php?article2302
IISD, Report: SUMMARY OF THE BONN CLIMATE CHANGE TALKS, 2010,

available at http://www.iisd.ca/vol12/enb12472e.html
UNFCCC
terminology
and
Climate
http://unfccc.int/press/fact_sheets/items/4986.php
IISD, Report: Summary of the UNFCCC Climate Change

COP18/CMP8, available at http://www.iisd.ca/climate/cop18/enb/
IPCC website: http://www.ipcc.ch/
OECD library statistics, OECD Factbook 2011-2012: Economic, Environmental

and
Social
Statistics,http://www.oecd-ilibrary.org/sites/factbook-2011en/09/02/01/09-02-01g1.html?contentType=&itemId=/content/chapter/factbook-2011-78en&containerItemId=/content/serial/18147364&accessItemIds=&mimeType=te
xt/h
Trade and climate change report WTO-UNEP report
change
acronyms:
Conference
Press release UNFCCC 8 December, News archive 2012
UN
Climate
Change
Conference
COP18/CMP8,
Doha
2012;
http://www.cop18.qa/en-us/homepage.aspx
___________________________________________________________________________________________________
114

LDC
Group
at
UN
climate
change
negotiations:
http://ldcclimate.wordpress.com/about-the-ldc-group/
United Nations Development Programme: Responding to climate change in

Least Developed Countries:
http://www.undp.org/content/dam/aplaws/publication/en/publications/environ
ment-energy/www-ee-library/climate-change/responding-to-climate-change-inleast-developed-countries/LDC_Flyer28_7.pdf
The impact of climate change on the development prospects of least developed

countries and small island developing stats, 2009. Office of the High
Representative for the Least Developed Countries, Landlocked Developing
Countries and Small Island Developing States (UN-OHRLLS):
http://www.unohrlls.org/UserFiles/File/LDC%20Documents/The%20impact%20
of%20CC%20on%20LDCs%20and%20SIDS%20for%20web.pdf
Climate change related opportunities of the African, Caribbean and Pacific

Group of States (ACP): http://www.acp.int/es/node/675
Rietig, K. (2011). Public pressure versus lobbying how do Environmental

NGOs matter most in climate negotiations? Working paper 70, Grantham
Research Institute on Climate Change and the Environment, London, UK.
http://www2.lse.ac.uk/GranthamInstitute/publications/WorkingPapers/Working
%20Papers/70-79/WP70_environmental-NGOs-climate.pdf
Doha 2012, UN climate change conference COP18, CMP 8, Guide to climate

change:
http://www.cop18.qa/Portals/0/PDFs/014_COP18%20GUIDE%20TO%20CLIMA
TE%20CHANGE%20(1).pdf
Climate Analytics: Support for climate change negotiators from LDCs:

http://www.climateanalytics.org/projects/support-climate-change-negotiatorsldcs
United Nations Environment Programme 2010, Green Economy, Developing

Countries Success Stories:
http://www.unep.org/pdf/greeneconomy_successstories.pdf
___________________________________________________________________________________________________
115

Video Transcripts
Video 2.1
COP15 - Ban Ki-moon announces that the Copenhagen Accord has
been approved
(http://www.youtube.com/watch?v=YsIqfx5XWu4)
Good morning ladies and gentlemen,
It is a great pleasure to see you at the conclusion of this very important
meeting on climate change. We have had a long and exhausting couple of
days. We talked all Thursday and Friday night and delegations are still
discussing this issue. Finally we sealed the deal. And it is a real deal. Bringing
world leaders to the table paid off.
I would like to thank Prime Minister Rasmussen, Minister Hedegaard and the
Government and people of Denmark for hosting this conference and helping
the negotiations to a successful conclusion.
The Copenhagen Accord may not be everything that everyone hoped for. But
this decision of the Conference of Parties is a new beginning, an essential
beginning.
At the Summit I convened in September, I laid out four benchmarks for
success for this conference. We have achieved results on each.
All countries have agreed to work toward a common, long-term goal to limit
global temperature rise to below 2 degrees Celsius. Many governments have
made important commitments to reduce or limit emissions. Countries have
achieved significant progress on preserving forests. Countries have agreed to
provide comprehensive support to the most vulnerable to cope with climate
change.
The deal is backed by money and the means to deliver it. Up to thirty billion
dollars has been pledged for adaptation and mitigation. Countries have backed
the goal of mobilising $100 billion dollars a year by 2020 for developing
countries.
We have convergence on transparency and an equitable global governance
structure that addresses the needs of developing countries. The countries that
stayed on the periphery of the Kyoto process are now at the heart of global
climate action.
We have the foundation for the first truly global agreement that will limit and
reduce greenhouse gas emission, support adaptation for the most vulnerable,
and launch a new era of green growth.
___________________________________________________________________________________________________
116

Going forward, we have three tasks.

First, we need to turn this agreement into a legally binding treaty. I will work
with world leaders over the coming months to make this happen.
Second, we must launch the Copenhagen Green Climate Fund. The UN system
will work to ensure that it can immediately start to deliver immediate results to
people in need and jump-start clean energy growth in developing countries.
Third, we need to pursue the road of higher ambition. We must turn our back
on the path of least resistance. Current mitigation commitments fail to meet
the scientific bottom line. We still face serious consequences.
So, while I am satisfied that we have a deal here in Copenhagen, I am aware
that it is just the beginning. It will take more than this to definitively tackle
climate change. But it is a step in the right direction.
Thank you very much.
Secretary General of the United Nations
Mr. Ban Ki-moon
Video 2.2
UNFCCC Press Briefing, Monday 4th October 2010
(http://unfccc.int/2860.php)
The Chinese government has done a great job, and we are all in their debt.
Throughout this year, governments have focused on laying the foundations of
the next chapter of the climate regime, in order to usher in a new energy
revolution and help the poorest and most vulnerable adapt effectively to
climate change.
We are now scarcely two months away from the climate change conference in
Cancun, where governments need to decide on the pillars of that foundation.
Governments have restored their own trust in the process, but they must
ensure that the rest of the world believes in a future of ever increasing
government commitment to combat climate change.
To do that, in Tianjin, governments need to agree on what is doable in Cancun,
and on how it will be achievable in a politically balanced manner.
Yes, there are political disagreements - mainly over how and when to agree on
a fair share of the responsibilities of action now and into the future.
But governments seem ready to discuss difficult issues. They can break those
deadlocks and bridge their differences.
___________________________________________________________________________________________________
117

Governments can formalise the many pledges and promises they have made to
cut and limit emissions. They also need to be clear on the continuation of the
Kyoto Protocol.
They need to take decisions to provide funding and technology to developing
nations and launch a clear, efficient infrastructure to manage and deploy it all
in a fair, transparent and accountable way.
Governments can agree on a global framework to help countries adapt to the
already inevitable changes to the climate system. This year`s floods in
Pakistan and China and fires in Russia have been a wake-up call to the dangers
of extreme climate.
Governments can agree on incentives to reduce deforestation around the
world, and to get science, business and society to embrace the energy
revolution that is urgently needed.
The agreements that can be reached in Cancun may not be exhaustive in their
details, but as a balanced package they must be comprehensive in their scope
and they can deliver strong results in the short term as well as set the stage
for long-term commitments to address climate change in an effective and fair
manner.
Above all, a concrete outcome in Cancun is urgently needed to prevent climate
change impacts from wiping out the hard-won development gains of the past
few decades.
What is needed, in short, is determined political will, a political will that
translates into concrete action.
UNFCCC Executive Secretary, Christiana Figueres
With thanks to the UNFCCC
___________________________________________________________________________________________________
118

Climate Change Diplomacy - Module 2 - Final

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CLIMATE CHANGE DIPLOMACY:

NEGOTIATING EFFECTIVELY UNDER THE UNFCCC

Climate Change Diplomacy:

Climate Change Diplomacy:

Climate Change Diplomacy:

Lesson 2: History and Development of the United Nations Convention on

History and Development under the UNFCCC and Kyoto Protocol

Legal Issues: Ratification status of the UNFCCC and Kyoto Protocol

Objectives and Principles under the UNFCCC and the Kyoto

Objectives of the UNFCCC and Kyoto Protocol

Principles of the UNFCCC and Kyoto Protocol

Equity and Common but Differentiated Responsibilities

Promote Sustainable Development

Trade related measures

Becoming a Party to the UNFCCC

Who are the Parties to the UNFCCC and Kyoto Protocol?

Climate Change Diplomacy:

What are the Parties commitments?

Under the Convention

Under the Protocol

Who are the Party Delegations and Regional Groups?

Institutional Arrangements and Practice of the UNFCCC and

Climate Change Diplomacy:

3.1 Division of responsibilities between the SBSTA and SBI

Lesson 6: Cooperation and Participation of Organisations and Observers

IPCC Assessment reports and other publications

4. Global Environment Facility (GEF)

Participation and rights of observers

Participation of the Media

Climate Change Diplomacy:

Video clip or webcast

Climate Change Diplomacy:

Climate Change Diplomacy:

Lesson 1: The need for an international

Learning Objectives Lesson 1: The learner will be able to recognise

Climate Change Diplomacy:

Climate Change Diplomacy:

energy, agriculture, land use change, manufacturing, transport, tourism,

2. Equity Issues in International Climate Change Policy

Climate Change Diplomacy:

Historical emissions data - http://www.tsp-data-portal.org/Historical-

Climate Change Diplomacy:

(according to the UNFCCC, 2010) due to circumstances related to regional and

3. The need for global cooperation

Climate Change Diplomacy:

Climate Change Diplomacy:

immanent need to tackle global climate change:

Climate Change Diplomacy:

Lesson 2: History and Development of the United

Learning Objective Lesson 2:

2. History and Development under the UNFCCC and Kyoto

Climate Change Diplomacy:

Programme was set up, steered by the World Meteorological Organisation

International Council of Scientific Unions (ICSU). Several intergovernmental

Climate Change Diplomacy:

On 21 December, the United Nations General Assembly established, by

intergovernmental negotiating process under the auspices of the General

greenhouse gas concentrations in the atmosphere at a level that will prevent

Figure 1: Timeline of climate change negotiations. Source: UNEP/Grid Arendal,2009,ClimateinPeril.

Climate Change Diplomacy:

2.2 The UNFCCC and its developments2

Extracted from the UNFCCC Handbook available at http://

Climate Change Diplomacy: