2012/03/24

平成 23 年度気候変動枠組条約及び京都議定書に基づく
国別報告書の訪問審査への専門家派遣業務 報告書— ダーバン会議の結果を踏まえた加筆バージョン —（有）クライメート・エキスパーツ
松尾 直樹
	
 

	
 

1

目	
 次	
 
I.

業務の目的と背景 ............................................................................................. 3

II.

業務の内容 ..................................................................................................... 4

II-1. 気候変動枠組条約及び京都議定書に基づく詳細審査への専門家の派遣

4

専門家のいままでの審査経験

4

詳細審査のチーム構成と日程

4

プロセスフロー

5

報告書の本体7ポーランドの詳細審査のキーポイント

12

今後に向けてのコメント（附属書 I 国審査について）

13

II-2. 国別報告書の詳細審査及び関連ガイドラインに関する提案の整理

13

国別報告書等の審査プロセスの現状とその分析

13

新たに導入される附属書 I 国の隔年報告書とその審査プロセス(IAR)

18

新たに導入される非附属書 I 国の隔年更新報告書とその分析プロセス(ICA)

20

II-3. 今後に向けてのコメント（附属書 I 国審査について）

21

国別報告書の詳細審査について引き続き維持することが望ましいこと

21

国別報告書の詳細審査について審査の限界点および改善すべきこと

21

II-4. 今後に向けてのコメント（非附属書 I 国プロセスについて）

25

Annexes .............................................................................................................. 27
ANNEX A.

IN COUNTRY VISIT のスケジュール

27

ANNEX B.

IN COUNTRY VISIT の最後段階の松尾による政策措置部分発表資料

28

ANNEX C.

詳細審査でチェックする ANNEX I 国国別報告書のガイドライン

39

ANNEX D.

詳細審査に関して専門家審査チームに対する説明

44

ANNEX E.

詳細審査のガイダンス

53

ANNEX F.

附属書 I 国の隔年報告書のガイドライン

61

ANNEX G.

IAR の MODALITIES AND PROCEDURES

66

ANNEX H.

非附属書 I 国の隔年更新報告書のガイドライン

69

ANNEX I.

ICA の MODALITIES AND GUIDELINES73

別 添 資 料 : Report of the in-depth review of the fifth national communication of Poland(FCCC/IDR.5/POL)

2

I.  

業務の⽬目的と背景  気候変動枠組条約では，第 4 条 1 項および第 12 条において，開発途上国も含む全ての締約国に対し，温室効果ガス排出・吸収に関する情報や政策・措置等を記載した国別報告書（National Communications）を，現在では 4 年の間隔（附属書Ⅰ国の場合）で条約事務局へ提出することを求めている（条約のコミットメントとなっている）．
なお，さらに 2 年ごとの隔年報告書(biennial report)の提出1が義務づけられ，主として先進国の自主的にプレッジした数値目標達成状況の進捗の報告されることとなった．そして COP 17（ダーバン会議）において，その報告ガイドラインが定められた2．また，この隔年報告書の経験を踏まえ，国別報告書のガイドラインの改定作業が SBI 40 から開始し，COP 20 において改定が行われる予定となっている．
気候変動枠組条約に基づき附属書Ⅰ国が提出する国別報告書は，条約事務局及び専門家による訪問審査が行われることとなっている（詳細審査(in-depth review)と呼ばれる）．
加 え て ，新 設 され る隔 年 報 告 書 に 関 して もそ の 報 告 の 2 ヶ月 後 に IAR (international
assessment and review)という審査プロセスが実施されることとなり，その modalities andprocedures3がダーバン会議で定められた．
本業務では，第 5 回目の国別報告書(NC5)に対する附属書 I 各国の審査において，条約事務局からの専門家派遣要請に応じて国別報告書の訪問審査に参加，審査報告書の作成を実施するとともに，その経験を踏まえ，国別報告書の詳細審査及び関連ガイドラインに関する提案を整理するものとする．

1

次回の国別報告書の期限は 2014 年 1 月 1 日で，最初の隔年報告書は，その Annex もしくは別立て

レポートとして提出されなければならない．
2

Outcome of the work of the Ad Hoc Working Group on Long-term Cooperative Action under theConvention （まだ正式な決定文書番号-/CP.17 は付いていない）
3

発展途上国に対しても，排出削減量の MRV の仕組みの必要な NAMAs の情報を主対象として，

biennial update report の提出が義務づけられ，それに対して，ICA (international consultation andanalysis)というプロセスが導入される．ただこの ICA は「審査」ではないため，その内容に関してはmodalities and guidelines という表現となっている．ちなみに，CDM の場合は，modalities and proceduresである．

3

II.   業務の内容  II-1. 気候変動枠組条約及び京都議定書に基づく詳細審査への専門家の派遣
専門家のいままでの審査経験
附属書 I 国の国別報告書の詳細審査4は，各国や国際機関からノミネーションされた専門家のリストの中から，条約事務局が，専門分野や過去実績などを勘案し，適当と想定される人
物を選択し，直接，コンタクトしてくる．
今回，派遣されることとなった松尾直樹は，いままでの 5 回の国別報告書のラウンドすべてに関与してきた．一回目はカナダ（1995 年），二回目はニュージーランド（1999 年），三回目はアメリカ合衆国（2004 年），四回目は 4 カ国の中央審査5（ハンガリー，スロバキア，フィンランド，
スイス； 2006 年），そして今回の五回目がポーランド（2011 年）である．
詳細審査は，通常は選ばれた 4 名程度の専門家と，条約事務局から一人コーディネーター
として配置される．専門家は，専門分野別に選ばれる．松尾は，一貫して「政策措置」分野の専門家として選ばれている（通常は重なるところのある「将来推計」部分もサポートする）．

詳細審査のチーム構成と日程
今回のポーランド NC5 の詳細審査に関して，事務局から選ばれたメンバーとそれぞれの役
割は，以下の通りとなっている：
Competency of
ERT member
MarinaShvangiradze(Georgia)
Lead Reviewer
Naoki Matsuo
4Main tasks

Additional tasks

National circumstances;
Emission trends

National system and national
registry

Policies and measures

Domestic and regional

詳細審査は，http://unfccc.int/national_reports/annex_i_natcom/idr_reports/items/4056.php からそれぞれのレポートがダウンロードできる．
5

詳細審査は，基本としては約一週間の訪問審査を含むプロセスとなるが，期間や予算等の制約から，ボンの条約事務局でまとめて 4 カ国を審査する中央審査が行われることもある．

4

(Japan)Lead Reviewer(in accordance with Article 2)

programmes (other than NS andNR), minimization of adverse
impacts and effects (Articles 3.14
and 2.3), supplementarity related to
KP mechanisms (jointly withprojection expert)
Supplementarity related to KP
mechanisms (jointly with Policy
and measures expert)
Research and systematic
observation; Information under
Art. 10 and 11 of the KP*

Ioannis Sempos(Greece)

Projections, total effect ofpolicies and measures

Daniel Tutu
Benefoh (Ghana)

Vulnerability assessment,
impacts and adaptation
measures; Financial resources
and transfer of technologies*
Education, training and public
UNFCCC/CCNUCC Page 2
awareness*: Only relevant to reviews of Annex II Parties

また，レビュー開始当初の予定は以下の通りである．通常は，レビューアーのドラフトレポート
作成に時間を要したり（内部コンセンサスが必要．とくに事務局と），当該国の承認をとるまでのやりとりに時間を要したりして，なかなかスケジュール通りにいかないことが多いが，今回は，Tentative timetable for the in-country in-depth review of
おおむねスケジュール通りにはこんだ．
fifth national communication of Poland

Submission of background documentation andpreparation for the review

14 February 2011

Review week in Warsaw,

11 to 16 April 2011

Preparation of draft review reports by the expert review
teamby 16 May 2011

Draft report to be sent to Party

11 June 2011

Comments from Parties on draft review reports

9 July 2011

Preparation of the final review report by the expert
review team

23 July 2011

Publication of report

6 August 2011

一週間の in country visit のスケジュールは Annex A 参照．
プロセスフロー
詳細審査は，おおむね上記のスケジュール表のような手順で行われる．
1. 条約事務局による詳細審査チーム編成
条 約 事 務 局 で ， Katia Simeonova 率 い る Review and Analysis Sub-Programme5

(Reporting, Data and Analysis Programme の下部プログラム)が，専門家のロスターからそれぞれの専門分野で適当と思われる 4, 5 名を選択し（途上国と先進国の混成チーム），詳細審査が可能であるかどうかを尋ねてくる．経験のある 2 名が lead reviewer となる（松尾は今回と前回，lead reviewer になった）．事務局から（通常は）一名が参加する．今回は，Inkar Kadyrzhanova（カザフスタン人の女性）が担当した．重要な国に対しては，国際機関からの参加がある場合もある．
2. 事前準備
事 務 局 の 担 当 か ら ， 国 別 報 告 書 (NC5) ， 詳 細 審 査 に 関 す る ガ イ ド ラ イ ン な ど のUNFCCC プロセスの関連ドキュメント，National Inventory Report などがファイルで送られてくる．審査チームメンバーは，NC5 を読んで，事前に必要なドキュメントのリストと，各種質問を作成し，事務局を通じてホスト国に送付する．また，国別報告書のガイドラ
インに沿っているかどうかのチェックリストなども送られてきて，in country visit 前にそれへの遵守状況などをチェックしておくこととなる．今回は，詳細審査レポートのドラフトのドラフトも，用意し始めた．
松尾は，他の参考文献（たとえば EU の温暖化政策やエネルギー政策関連資料，IEAのエネルギー政策レビュー報告書など）を活用し，政策の背景や理由などを把握することにつとめた（ポーランドは EU 加盟国であり，かなり EU 政策に影響を受ける．またIEA のエネルギー政策レビューは温暖化対策の背景にある（かつ不可分の）エネルギ
ー面の状況を詳細に記してあるため，非常に役に立つ）．
3. In Country Visit（Annex A 参照）
事前準備を踏まえ，一週間の in country visit が行われる．Review team には，ホスト国の UNFCCC フォーカルポイントとなる役所の一室が作業場所としてあてがわれる．通常は，最初の日曜の PM に審査プロセスの方針などをチーム内で（ホテルで）打ち合
わせをする．月曜から木曜までは，ホスト国の National Communications を担当した各役所のスタッフからのプレゼンテーションと質疑応答が行われる．不足していた情報や，追加資料（とくに背景となる計画や政策の詳細説明など）も提供される．最後に，産業界や環境 NGO との会合を経て，review team からホスト国に対して，それまでの review
team の major findings に関するプレゼンテーションを，担当したそれぞれのメンバーによって行われる．ポーランド NC5 の visit において，松尾が担当した政策措置部分のプ

6レゼンテーション資料6を，Annex B に添付する．さいごに，できるだけホスト国内でレポートのドラフトの完成度を上げ，チームメンバー内で今後の方針を明確化して，incountry visit は終わる．
4. 審査報告書のドラフト完成
ホスト国訪問後は，e-mail ベースで，まずドラフト審査レポートを完成させる．レビュー
アーに対し，担当の事務局員，さらには責任者である Katia Simeonova のコメントを入れた形で，ドラフト審査レポートが完成し，それがホスト国に送付される．
5. ホスト国とのコミュニケーション
ホスト国とのやりとりが何度かあったのち，最終的に双方のコンセンサスが得られた段階で，ドラフトは最終バージョンとなり，国連システムの英語のチェックを受け，報告書が完成する．
6. 報告書完成
報告書が，UNFCCC の Web サイトにアップされる．今回のポーランドの NC5 に対する
詳細審査報告書は，FCCC/IDR.5/POL という文書番号で 2011 年 8/5 にアップされた
http://unfccc.int/resource/docs/2011/idr/pol05.pdf （別添資料）．
報告書の本体報告書本体は別添資料参照．以下にその結論および recommendations 部分を転記する．なお，recommend という（厳しめの）用語を用いる場合には，国別報告書の作成ガイドラインに対するコンプライアンスに関連する事項のうち必須である shall の部分，encourage は shouldの部分への対応リクエストを意味する．

III. Conclusions and recommendations
119. The ERT concludes that the NC5 generally provides a good overview of the national
climate policy of Poland. The information provided in the NC5 includes most mandatory
information under the UNFCCC reporting guidelines, except for: the mitigation effectsof PaMs; emission projections related to fuel sold to ships and aircraft engaged ininternational transport; the total effect of PaMs; capacity-building in developing
countries for research and systematic observation. It also includes most of the elements
6

ポーランド環境省の担当者のひとりからは，この手の審査におけるプレゼンテーションとして，いままでで最高のものであったという評価をいただいた．

7

of the supplementary information under Article 7 of the Kyoto Protocol, except for
information on: the national system; the national registry; steps taken to promote and/or
implement any decisions by ICAO and IMO in order to limit or reduce emissions of
GHGs not controlled by the Montreal Protocol from aviation and marine bunker fuels;
the minimization of the adverse effects of PaMs under Article 2 of the Kyoto Protocol;
and a description of national legislative arrangements and administrative procedures that
seek to ensure that the implementation of activities under Article 3, paragraphs 3 and 4,of the Kyoto Protocol also contributes to the conservation of biodiversity and thesustainable use of natural resources. During the review, Poland provided the additional
missing information.
120. Poland’s total GHG emissions for 2008 were estimated to be 29.6 per cent below its
1988 level, excluding LULUCF, and 34.4 per cent below, including LULUCF. The
emissions decrease was driven by the restructuring of economy, improvements in energy
efficiency and the modernization of heavy industry. A slight increase in emissions has
been observed since 2006 due to the continued economic development andimprovements in living conditions.
121. In its NC5, Poland has reported the emission projections for the years 2015, 2020 and
2030 under the ‘with measures’ scenario. During the review, Poland provided the ERTwith the updated ‘with measures’ scenario. According to this updated scenario, Poland’s
total GHG emissions in 2010 are estimated at 376.43 Tg CO2 eq or 28.9 per cent below
the Kyoto Protocol target, whereas total GHG emissions in 2020 are projected at 363.39
Tg CO2 eq or 31.4 per cent below the Kyoto Protocol target. The projections indicate that
Poland can meet its Kyoto Protocol target (which is a 6 per cent reduction in emissions
below the base year level), and emissions are not expected to exceed the Kyoto Protocol
target even by 2020.
122. The NC5 contains information on how Poland’s use of the mechanisms under Articles 6,
12 and 17 of the Kyoto Protocol is supplemental to domestic action. Poland reported
during the review that it expects to achieve its Kyoto Protocol target during the firstcommitment period by domestic action alone. However, the Party reported that JI andemissions trading under Article 17 (through the GIS) will contribute to further emission
reductions at the national level.
123. Poland’s PaMs are in line with the EU Climate and Energy Package and its ‘20-20- 20’
targets. Currently, Poland’s climate change policy framework is based on the Climate
Policy Strategy, PEP 2030, the National Energy Efficiency Action Plan, the Renewable
Energy Action Plan, the Act on Energy Efficiency and several legal acts addressing
sectoral priorities. This framework will be further strengthened by a new climate change
policy and a new Act on Energy Efficiency. Many of the PaMs generate multiple
co-benefits addressing the Party’s climate, energy and environment policy objectives.
8

Poland introduced several market-based tradable policy instruments that complement the
EU ETS and promote the wider use of RES and CHP and promote energy efficiency.
124. Although Poland is not included in Annex II to the Convention, it has neverthelessprovided information on support to developing country Parties through its international
development cooperation agenda, with a focus on technology transfer.
125. Poland has provided information on the expected impacts of climate change and actions
to be taken with regard to adaptation. Poland identified the following four sectors as themost vulnerable: agriculture, coastal zones, water resources and forestry. These sectors
are highly sensitive to climate variability and weather extremes. The Party reported ontargeted response measures aimed at enhancing adaptation to climate change, inparticular in the agriculture and coastal zone sectors. A national adaptation strategy is
being developed and its implementation will start in 2013.
126. The Party has provided comprehensive information on its education policy on climatechange and the environment as well as on formal and informal training. In 2003, theMinistry of National Education issued a directive on mandatory education on theenvironment and climate change from primary school level to higher levels of education.
The Act on Environmental Protection Law, the National Environmental Education
Strategy and the Climate Policy Strategy underpin Poland’s actions on education,
training and public awareness on climate change.
127. Poland has provided information on its actions relating to research and systematic
observation and has addressed both domestic and international activities, including inassociation with WCP, GCOS, EuroGOOS and IPCC.
128. The ERT concluded that Poland’s national system continues to perform its required
functions as set out in decision 19/CMP.1; and that the national registry continues toperform the functions set out in decision 13/CMP.1 and decision 5/CMP.1, and continues
to adhere to the technical standards for data exchange between registry systems inaccordance with relevant CMP decisions. The ERT noted that updates of databases andapplications, implemented security measures and changes to the national registry
software are documented on a regular basis by nominated responsible persons.
129. Supplementary information under Article 7, paragraph 1, of the Kyoto Protocol on theminimization of adverse impacts in accordance with Article 3, paragraph 14, of the
Kyoto Protocol provided by the Party in its 2009 and 2010 annual submissions iscomplete and transparent. The ERT encourages Poland to further enhance the reportingon Article 3, paragraph 14, including by indicating how it gives priority to the action
taken in implementing its commitments under Article 3.

9

130. In the course of the IDR, the ERT formulated several recommendations relating to thecompleteness and transparency of Poland’s reporting under the Convention and its Kyoto
Protocol. The key recommendations are that Poland:(a)Improve the completeness of its reporting by including in its next national
communication the following:(i)A description of the national system, in accordance with decision 15/CMP.1;(ii) A description of the national registry, in accordance with decision 15/CMP.1;(iii) Quantitative estimates of the impacts of individual PaMs or collections of
PaMs for all sectors, except for the PaMs in the agriculture sector;(iv) An assessment of how Poland believes its PaMs are modifying longer-term
trends in anthropogenic GHG emissions and removals consistent with theobjective of the Convention;(v)

Information on the steps taken to promote and/or implement any decisions by
ICAO and IMO in order to limit or reduce emissions of GHGs not controlled
by the Montreal Protocol from aviation and marine bunker fuels;(vi) Information on the implementation of PaMs under Article 2 of the Kyoto
Protocol in such a way as to minimize adverse effects, including the adverse
effects of climate change and effects on international trade and social,environmental and economic impacts, on other Parties, especially developing
country Parties;(vii) Emission projections for the LULUCF sector;(viii) Emission projections related to fuel sold to ships and aircraft engaged ininternational transport, reported separately and not included in the totals;(ix) Information on the expected and estimated total effect of implemented andadopted PaMs, presented in terms of GHG emissions avoided or sequestered,by gas (on a CO2 eq basis) and by year;(x)

Information on the national legislative arrangements and administrative
procedures that seek to ensure that the implementation of activities under
Article 3, paragraph 3, and elected activities under Article 3, paragraph 4, of
the Kyoto Protocol, also contributes to the conservation of biodiversity andthe sustainable use of natural resources;10

(xi) Information on the actions taken to support capacity-building in developing
countries on research and systematic observation, as far as possible;(b)

Improve the transparency of reporting by providing:(i)A clear definition of the ‘with measures’ scenario and the PaMs included in
the scenario as well as their expected and estimated effects;(ii) A clear explanation of the total effect of PaMs implemented, adopted andplanned and the link between the effects of individual PaMs and total effect of
PaMs;
(c)

Improve the timeliness of its reporting by submitting its next national
communication by the deadline;(d)Provide further information, in its next annual submission, on how it strives toimplement its commitments under Article 3, paragraph 1, of the Kyoto Protocol insuch a way as to minimize adverse social, environmental and economic impacts ondeveloping country Parties, particularly those identified in Article 4, paragraphs 8
and 9, of the Convention.

131. The ERT encourages Poland to undertake a number of improvements regardingtransparency and completeness of reporting; the most important of these are that the
Party:(a)Provide more detailed information on the main drivers of emission trends by sector(in particular for the energy subsectors and the LULUCF sector) and highlight theirrole in emission projections;(b)

Provide a more transparent description of its PaMs with a clear explanation of how
these PaMs correspond to or support the EU Climate and Energy Package, specificnational targets adopted and the progress made in their implementation;(c)

Undertake an analysis of the costs and co-benefits of as well as the barriers to theimplementation of PaMs and the fiscal impacts of each PaM or collections of
PaMs;

(d)

Improve its reporting on projections by using the more detailed information andAD available at the various agencies and institutes involved in the preparation of
the national GHG inventory;(e)Develop a ‘with additional measures’ scenario of emission projections in order toestimate the effect of planned PaMs.

11

ポーランドの詳細審査のキーポイント
ここでは，国別報告書作成ガイドラインに関する点を除いた「ポーランドの気候変動緩和政策」の『中身』に関して，松尾が重視した点を記述する．
第 1 に，EU 加盟国になったポーランドは，EU のエネルギー/環境政策に縛られる．いいかえ
ると，国レベルでの政策のフリーハンドの幅がかなり狭められる．どこまでが EU の政策に基づくもので，どこがポーランド固有の考え方や状況に応じた政策であるか？という点の峻別や背景をきちんと理解することがむつかしかった（NC5 の記載が不明確で，その他の多くの文献などを参照する必要性があった）．
結果として，EU の考え方がそのまま反映される EU-ETS カバードセクターと，ポーランド固有の政策措置の比重が多くなる非カバードセクターのうち，とくに後者の取り組みの弱さが気になった．また，エネルギー政策の 3 つの柱のうち，ポーランド独自事情が反映されるエネルギ
ー安全保障面（ポーランドは自国の褐炭/石炭がエネルギー安全保障の主となる）と，CO2 削
減のオーバーオールな目的とのリンケージの弱さが気になった．
第 2 に，列挙されている政策措置の重要度の違いと影響度，背景となる状況（どうしてその政策措置が必要か，どうしてそのようなデザインを行ったか）がある．
NC5 では強調されていなかった点として，上記の点と関係するが，30 年を超える老朽化した
低効率石炭火力のリプレースの「機会」が，安全保障面と CO2 面の双方にとって，今後の 30
年の最大のチャンスであるということを，あまり（すくなくとも環境省は）重視していなかったことが気になった．巨額の初期投資コストを集めるための明確な政策シグナルも不足しているようである．また，各政策措置のポテンシャルやコスト評価を行っていないことにも関連するが，NC5 は（NC4 以前も）総花的な対策の列挙の感が強く，いいかえると政策意思決定側もいきあたりばったり的な感触を受けた．
第 3 は，他の国（とくに途上国）に対して，good practices として紹介できる取り組みは何か？
（あるいは失敗例も非常に有益な情報となり得る）
ポーランドは，電力会社への規制の柔軟性として，各種（7 種類程度）の取引可能な許可証を導入している．CHP を燃料ごとに設定しているのが主であるが，その他再生可能エネルギーも対象であり，実効性のある形で機能しているようである．また，各種の政府のファンドが機能しており，主要なプログラムを動かすための原資を提供している．
最後に残念だったのは，最終日の審査チームからの findings のプレゼンテーションを行う際
12

に，参加したのはフォーカルポイントである環境省だけであったということである．たとえばエネルギー政策は，環境省が担当するわけではなく，この審査の活用が，エネルギー政策面に反映される可能性はほぼその段階で断たれたといえる．

今後に向けてのコメント（附属書 I 国審査について）
上記で述べた『中身』に関する点は，条約の仕組みとしての国別報告書の本来の（背景となっている）趣旨：•

報告書を作成することで，自国の状況を把握し直す．さらにはそれを世界に披露することで自国政策策定側へのプレッシャーとする．

•

数値で表された目標のプレッジ＆レビューを機能させる．

•

経験をシェアすることで，すべての国々の対策の有効性を高める．

からすれば，重要な視点であり，松尾もできるだけ過去の詳細審査において，明確化しようとしてきた．
ただ実際は，京都議定書タイプの報告書作成のためのガイドラインに準拠しているかどうか？という「監視し合う」側面が強い．
これは今後の途上国の類似の報告書や ICA などのプロセスにも関連すると思われる．行動をファシリテートする条約のプロセスと，ルール遵守のための議定書のプロセスの峻別，目的の明確化などが必要であろうと思われる．

II-2. 国別報告書の詳細審査及び関連ガイドラインに関する提案の整理
国別報告書等の審査プロセスの現状とその分析□ 国別報告書の章立てと詳細審査で行われること
国別報告書は，UNFCCC の重要な義務事項として条約に規定され，先進国に対しては詳細審査が導入されることが，UNFCCC において規定された．
FCCC/CP/1997/7—UNFCCC Guidelines on Reporting and Review によると，Annex I 国の国
別報告書は，

13

1.

Executive Summary

2.

National circumstances relevant to GHG emissions and removals

3.

GHG inventory information

4.

Policies and measures(A) Selection of policies and measures for the national communication(B) Structure of the policies and measures section of the national communication(C) Policy-making process(D) Policies and measures and their effects(E) Policies and measures no longer in place

5.

Projections and the total effect of policies and measures

6.

Vulnerability assessment, climate change impacts and adaptation measures

7.

Financial resources and transfer of technology

8.

Research and systematic observation

9.

Education, training and public awarenessから成る（政策措置部分はブレークダウンを入れてある）．その後，Decision 4/CP.5，そして若干の京都議定書 7 条 2 項関連の報告事項が Decision 15, 22/CMP.1 等で追加されたが，基本的な構造はかわっていない．それぞれにおいて，必須事項である shall 事項と，記述が望ましいとされる should 事項が規定されている．これらのガイドラインの概要は，Annex 3 参照．
詳細審査は，この国別報告書が有効に機能するための審査プロセスとして導入された（先進国の政策を途上国の人も審査に加わるおそらく世界でも最初のプロセス）．この実際の審査に関する条約事務局からの説明事項を，Annex 4 に記した．
前述のように，68 のアイテムに関してチェックリストを作成し，（罰則規定はないものの）ガイド
ラインへの遵守状況が審査される．また，詳細審査報告書自体のおおよそのテンプレートができており，審査チームは，それを用いて報告書を作成する．詳細審査のガイダンスを，
Annex 5 に添付する．条約側と京都議定書側の報告，審査，遵守に関する必要事項の概要
は下の表を参照されたい：14http://unfccc.int/national_reports/reporting_and_review_for_annex_i_parties/items/5689.php
なお，GHG inventory 部分に関しては，対象となる Annex I 国のほとんどが京都議定書の締約国であることもあり，議定書の毎年のインベントリー報告書ならびに議定書の数値目標につながる専門家審査（遵守委員会の下部実施プロセス）で MRV プロセスとして行われることになっているため，国別報告書および詳細審査プロセスにおけるインベントリー部分は，それを追認する形となり，その部分の重要度の比重は小さくなっている．
□ 国別報告書と詳細審査の基本的考え方
ここで，国別報告書とその詳細審査の制度としての設立経緯を考えてみよう．
これらは，（前述のように京都議定書側の必要事項も付加されてきてはいるが）基本的には，「条約」の下のプロセスであり，前者は条約のほぼ唯一の主要コミットメントとなっている．
気候変動枠組条約の基本的スタンスは，（数値目標を設定しその遵守のための制度的枠組みとなっている）京都議定書とは異なり，（ボランタリーとはいえ）対策をファシリテートしていこうというものである．ただ，その「実効性」をあげるため，パフォーマンス等を報告することで実態を見直し，それによって対策をファシリテートしていこうとしていることが特徴となっている．
政治的に法的拘束力のある数値目標に合意することが事実上不可能な状況下で，合意できるプレッジ＆レビュー方式で対策を強化していくベースとして，国別報告書とその詳細審査システムが用意された．また国際的に経験をシェアすることもその目的で，ひとつの国としても，国際的にも，PDCA サイクルをまわしてカイゼンしていく制度的枠組みとなることが企図さ15れた．これらは，条約の採択にあたっての INC 交渉時の米国国務省次官補 Robert Reinsteinらが，日本の赤尾大使，清木地球担当問題審議官（通産省）などと意図したところとして，彼らから直接聞いている．
その意味で，議定書の GHG インベントリー報告書や，その専門家審査とは，本来は性格がまったく異なる（議定書は，ルールやガイドラインの「遵守」の可否が審査対象）．
国別報告書は，実質的な罰則などはないが，できるだけ実効性のあるものとなるべく，ガイド
ラインが設定され，各国の自主努力を促すことを要請している．
□ 国別報告書と詳細審査の現在の方向性
上記のような制度デザイン当初の意図があったものの，現状での詳細審査は，「対策の中身」
よりも，かなり「ガイドラインに対する遵守」のチェックという点が重視されてきている．
詳細審査においては，ガイドラインの “shall” と “should” の各要請事項に関して不十分な場合には，その点をそれぞれ “recommend” と “encourage” で記述する．
また，詳細審査で重視される点は，下記の 3 点である（Annex D）：•

Transparency•

Completeness•Timeliness

このうち，completeness は上記のガイドラインに対する遵守に関する点，timeliness に関して
はオートマチックであり，その意味で「内容」に関しては transparency でしかない．いわばわかりやすく説明されているか？という点であり，詳細審査のガイダンス (Annex E)

においてもPurpose of the review
The team should study PaMs from the point of view of their comprehensiveness(coverage of all emissions and sectors), balance (adequate attention is given to themost important sources) and effectiveness (PaMs deliver mitigation effect expected).
In general, the ERT will follow the UNFCCC reporting guidelines, which states that
the Party ‘should give priority to PaMs which have the most significant impact’ andthat 'which are innovative and/or effectively replicable by other Parties'.
と記されている．確かに，sovereignty の視点からは，それ以上に踏み込んだことを指摘する
ことはむつかしく，せいぜい，既存の（そして計画されている）政策措置だけでは目標達成は
16

おぼつかないはずだ... という指摘程度となる（それも与えられた projection 結果をベースにするもの．審査チームの担当ががんばるなら，たとえば EU の出している projection との差異を分析して指摘することもできるが，通常はなされない）．
たとえばポーランドのケースでは，
もっとも有効に効く政策措置は，前述の老朽化した石炭火力のリプレースである．この機会に導入した石炭火力は，あと 30 年以上稼働される＝効率がほぼ固定される．
したがって，この機会をできるだけ効果的に利用する＝最高率の石炭火力を導入することは，短期的にも長期的にも非常に大きな影響を持つ．ただ，初期コストが高く外資導入が不可欠である．そのためには，エネルギーおよび温暖化政策が予見性が高く投資家にとって不確実性のかなり低い魅力的な投資案件にうつるような政策的シグナルと誘導措置が必要となる...
われわれ審査する側は，たとえばこのようなコメントを，審査レポートに recommendation かencouragement のような形で入れた方が，ホスト国のためにもなり，政策措置の専門家が関与する意味があると思う．他の審査プロセスでは，たとえば IEA の Energy Policy Review では，
このレベルの recommendation は行われている．
また，各種の CHP などの取引可能な許可証制度が成功してきているなら，ポーランドにはぜ
ひその成功してきた事例と理由/分析を（コラムなどの形で）国別報告書に記載してもらって，成功事例として経験を他の国とシェアしてもらうことが望ましいであろう．審査チームもそれを
encourage したい．
ただ，このようなことは審査チームに求められておらず，よほど強い意識を審査チームメンバ
ーが持っていない限り，報告書に書き入れることは容易ではない．
国別報告書の詳細審査が，本来の対策をファシリテートするという意図から，ガイドライン遵
守チェックシステムに舵を切った理由は，ガイドラインを作成した交渉担当者と条約事務局に，そのような当初の意図が受け継がれていないことがあるであろう．また，京都議定書の「数値目標」スキームを運用するための，議定書 5, 7, 8 条関連の規定（とくにインベントリー報告書とその専門家審査）との審査の性格の差異の認識があいまいでもある（CDM も同様に京都議定書のスキームで過度ともいえる MRV スキームが導入されている）．条約事務局の中で，同じ部局が担当していることも原因の一つかもしれない．

17

新 た に 導 入 さ れ る 附 属 書 I 国 の 隔 年 報 告 書 と そ の 審 査 プ ロ セ ス (IAR)
以下のプロセスは，AWG-LCA のプロセスすなわち，「条約の下での活動を enhance していく
プロセス」の一環として（とくに mitigation を中心として）導入されることとなったものである．
□ 隔年報告書
カンクン，ダーバンの両会議において，条約の第 4 条，12 条の報告関連事項は強化されることとなった．ダーバン会議において採択された附属書 I 国に対する隔年報告書(biennial
report)のガイドラインは，Annex F に転記する．
この報告書は，新たにカンクン会議で COP 決定という形で導入されることとなった附属書 I
国の数値目標 (quantified economy-wide emission reduction targets)7に関して，（この目標自体は「自主的」という性格は持つものの）その進捗状況などをチェックし，その着実な達成にむけての活動を促進させることを主要目的として導入された．また，排出量将来推計，非附
属書 I 国に対する各種サポート状況8の報告も含まれる．
数値目標達成にむけての進捗状況のチェック項目として，IV. Progress in achievement of
quantified economy-wide emission reduction targets and relevant information において，以下のような節が設けられている：(A) Mitigation actions and their effects(B) Estimates of emission reductions and removals and the use of units from themarket-based mechanisms and land use, land-use change and forestry activities
この A の部分には，
7. Each Annex I Party shall provide information on changes in its domestic institutionalarrangements, including institutional, legal, administrative and procedural arrangements
used for domestic compliance, monitoring, reporting, archiving of information andevaluation of the progress towards its economy-wide emission reduction target.
とあり，自主的でありつつも，きちんと目標達成に向けての国内体制整備に向けてのプレッシ
ャーがかかるようになっている（shall アイテム）．一方で，本当にできるかどうかの国内評価は

7

FCCC/SB/2011/INF.1/Rev.1.

8

途上国にとっては，コペンハーゲン会議で先進国のプレッジした途上国へのサポート状況の MRV も非常に重要な点として考えられていて，この部分はその進捗をあらわす部分でもある．

18

8. Each Annex I Party is encouraged to provide, to the extent possible, detailed
information on the assessment of the economic and social consequences of response
measures.
程度の弱い記述である．加えて，VII. Other reporting matters の部分に下記の記述がある：
24. Annex I Parties are encouraged to report, to the extent possible, on the domesticarrangements established for the process of the self-assessment of compliance withemission reductions in comparison with emission reduction commitments or the level ofemission reduction that is required by science. Annex I Parties are encouraged to report,
to the extent possible, on the progress made in the establishment of national rules fortaking local action against domestic non-compliance with emission reduction targets.
以上から判断できることは，制度面のプレッシャーに比較して，PDCA サイクルを通じて対策強化を実際に行うための，現行の対策の「国内評価」を記載する点が弱い．言い換えると（隔
年報告書の内容だけからは）IAR でも正確な（客観的な）審査が難しくなることを意味する．
オーバーオールな特徴としては，consistency, transparency, accuracy, completeness の他に，
comparability という点が記載されているところであろう．ただ，この comparability をどう評価するか？という点が，上述の国内評価への記載事項が弱いため，実際問題として難しくなる．
□ 隔年報告書の審査プロセス(IAR)
上記の隔年報告書を国際的に審査するため，IAR (international assessment and review)という審査プロセスが導入されることとなり，そのスコープは，その中心となる数値目標達成の進捗状況に関して，(a)All emissions and removals related to its quantified economy-wide emission
reduction target;(b)
Assumptions, conditions and methodologies related to the attainment of its
quantified economy-wide emission reduction target;(c)
Progress towards the achievement of its quantified economy-wide emission
reduction target.
を審査9することとなっていて，条約の詳細審査の関連部分のガイドラインに加え，「数値目標達成への進捗状況」そのものを審査10 する．また，達成状況の評価判断のベースとなる前提

9

専門家による技術的審査の方は，途上国へのサポート状況も審査スコープに入っている．

10

既存の国別報告書の詳細審査においては，京都議定書の目標達成の可否を直接審査対象とするこ
19

条件や方法論自体も審査対象となる．
この審査プロセスは，
I. 「専門家による隔年報告書の技術的審査」11と，II. その技術審査レポート（＋隔年報告書＋GHG インベントリー報告書＋国別報告書）を受けての「SBI における各国ごとの国際的な評価」12の 2 ステップから成る．
とくに後半が，いままでの国別報告書の詳細審査にはなかったプロセスであり（詳細審査の報告はなされた），各国に数値目標達成に向けてプレッシャーを与えることとなる．

新 た に 導 入 さ れ る 非 附 属 書 I 国 の 隔 年 更 新 報 告 書 と そ の 分 析 プ ロ セ ス (ICA)
非附属書 I 国に対しては，新たに国別報告書が 4 年毎として規定され，また隔年更新レポート(biennial update report)，およびそれに対する分析プロセス(international consultation andanalysis; ICA)が導入されることとなった．
なお，NAMAs (nationally appropriate mitigation actions)の国内 MRV に関するガイドライン
は，今後，SBSTA において定められることとなっている．
□ 隔年更新報告書
隔年更新報告書は，主として「GHG インベントリー」と「NAMAs」に関して，国別報告書の中間年と，国別報告書の一部として，2 年毎に提出されなければならない（LDC, 小島嶼国を除けば shall アイテム）．
その主要部分である NAMAs に関しては，表形式で，• 個々の NAMA に関する各種の情報［説明，前提/方法論，目的達成へのステップ，実施状況，国際市場メカニズム］• 国際的サポート［ニーズとそれを必要とする説明，サポートされている状況］とはなかった（状況を客観的に指摘することはあった）．
11

各国への訪問審査が行われるかどうかは，modalities and procedures には明示されていない．

12

各国は審査対象国に対して，事前に，および SBI の場で，質問を行うことができる．

20

に関する記述が必要となっている．
□ 隔年更新報告書の分析プロセス(ICA)
隔年更新報告書に対する ICA は，「専門家による技術的分析」と，SBI における「意見の共有」の 2 つのステップから成る．前者は，技術専門家チームによる．
このプロセスは「審査」ではなく，あくまで緩和行動を促進していくためのものとして位置づけられている．

II-3. 今後に向けてのコメント（附属書 I 国審査について）
国別報告書の詳細審査について引き続き維持することが望ましいこと
国別報告書は，カンクン合意の下，新たに導入される隔年報告書も含めると，間隔を 2 年と短くし，審査スキームを強化して運用されることとなる．
現行の審査スキームは，ベーシックな構造13 はそのまま受け継がれることが望ましいであろう．
10 人程度で行う IEA の Energy Policy Review レベルの審査を行うことは，国の数，頻度，今後始まる途上国の ICA プロセスなども考えると，現実的ではないため，規模感としても，現状の程度が妥当と思われる．
国別報告書のガイドラインの遵守状況のチェックを行うという点も，おろそかにするわけにはいかないであろうが，むしろガイドラインをもういちど見直すアプローチの方が効果的と考えられる．

国別報告書の詳細審査について審査の限界点および改善すべきこと
まずは，対策をファシリテートする方向性（目的意識）の再認識が重要であろう．京都議定書の場合にも，UNFCCC の AWG-LCA プロセスにおいても，附属書 I 国は，自主的とはいえ絶対量数値目標を達成する責任がある（京都議定書ではさらに国際法上の義務事項となる）．
この目標達成部分は，インベントリー/National System の部分として，（政策措置が十分かどうかという新たに IAR で導入される点を除いて）審査対象から除いたほうがよい（別の審査プロ
13

現状の国別報告書の章立てと，詳細審査プロセスにおけるその個々に対する審査という形式．とくに重要な「緩和」や「将来推計」部分は，隔年報告書と IAR で，条約の目標達成の進捗状況チェックという視点から強化されることとなるが，対策の促進をどうすればよいか？という具体的な点は弱い．

21

セスがあるため）．気候変動枠組条約は（京都議定書も第 2 条に）単に目標達成できたら可とするだけでなく，対策を有効に実施していくためのプロセスを重視していること，国別報告書・詳細審査プロセスは，その目的のためであることを COP 決定で明確化すべきであろう．
上述のように，国別報告書のガイドラインは，もういちど見直すことが望ましい．ただ，2/CP.1,
3–6/CP.5, 15/CMP.1, 22/CMP.1 において，すでに決議されているものを削除することは，（たとえば adverse impacts は）政治的にむつかしいであろうから，「追加」したほうが，透明性，客観性，比較可能性，審査容易性，そして対策と手法の改良・促進という点から望ましい点として，以下のようなものが挙げられる．
なお，ここでの提案は，国別報告書およびその詳細審査だけでなく，（とくに断らない限り）新
たに数値目標達成の進捗状況の報告とその審査として導入されることとなった隔年報告書
および IAR の双方にとっても有益である．
■ 過去のトレンドと将来推計の茅恒等式による要因分析
国の CO2 排出増加分を，人口，一人あたり GDP，対 GDP エネルギー消費原単位，対エネル
ギーCO2 排出原単位に要因分析する手法は，スプレッドシートで十分分析可能で，かつトレンドの要因を把握するためにきわめて有効である．したがって，自己分析という意味でも，過去と将来推計の双方において，あるトレンドを持つ期間を区切って，この要因分析を行うことが望ましい．可能であれば，セクターごとに同様の要因分析を行えば，さらに詳細に状況を把握することができる．
■ 経験のシェア（国別報告書と詳細審査）
日本の省エネ法のように，過去実施して成功を収めてきた政策手法に関して，かならず一つ以上を紹介することも有効であろう．成功してきた工夫と要因などが明示されれば，途上国を含む他の国への移転も容易になる．この経験は，コンパイルしてレポートとすることが望まれる．Good practices のみならず bad practices も意味を持つが，政治的に難しいかもしれない．
失敗をどう克服したか，という体験は意味が大きいであろう．
■ いくつかの指標に関する（自主的）な提出
経済ではなく，物理的な指標（共通の原単位による物差し）をセクター別にいくつか指定し，それを自主的に報告する制度を設けることで，他国の間でその国のパフォーマンスがどのレ

22

ベルであるか？ということが明示され，ヤードスティック型競争14も期待できる．指標は，たとえば IEA にリストアップしてもらい，政治的問題が生じないように，できるだけ多くの指標を用意する（指標の定義そのものが政治問題化する 15 ことを避ける）．指標の意味を明示し，（相対評価も踏まえて）その自己分析を行うことで，弱点の同定とどう攻めればよいかが明らかとなる（そのために用いるべき）．日本のようなパフォーマンスのよい国にとっても，自己アピールの機会となる．
共通指標の開発 → 公表 → 分析 → 評価 → 軌道修正方法
を，一連のプロセスとして導入できることが望ましい．
■ プライオリティーや影響度の大きな施策の詳細説明
どうしても総花的になりがちの国別報告書の政策措置部分の記述を，いままでのセクター別の記述に加え，重要度，影響度，プライオリティーといった観点から見直した記述も行う．これによって，どうしても縦割りになりがちの行政に対し，横糸を通した分析をすることを要請できる．
■ モデルによる過去実績の再現性チェック
国別報告書の Projection の章だけでなく，隔年報告書の数値目標達成に向けての進捗将来
推計には，通常はエネルギー経済モデルが用いられる（複数のモデルが用いられることもある）．このモデルの妥当性評価手法として，過去の実績を再現できているかどうか？という手法がある．これは単に過去実績を変数に代入するだけでなく（そのような adjustments は容易
で実際に行われている），「過去の（複数）時点における将来推計」の「現在からみた」妥当性
検証とその分析（たとえばなぜ外れたか？の分析）があることが望ましい（分析対象は，前提条件と手法そのものに大別できる）．これは，透明性の確保のみならず，推計手法の改良を促進させるという意味でも有効である．なお，上記のように，茅恒等式を用いた分析は，モデルに対しても（その性格の本質を知る上で）きわめて有効である．

14

比較されることによる対抗心などによる競争．

15

たとえば製鉄/製鋼など，バウンダリーの採り方によって大きく数字が異なってきて，ある国のセクターの数字が真のエネルギー効率の良否を表さないことがあり得る．これはビジネス上も大きな意味を持つ
ため，注意深く扱わなければ政治問題化する可能性が高い.

23

■ 国内政策/対策の PDCA プロセス
政策や対策は，所期の目標がそのまま達成されることは稀である．したがって，そのパフォー
マンスをモニターし，分析し，軌道修正を行う国内審査プロセスが必要となる（オーバーオー
ルな目標だけでなく個々の対策においても重要）．このようなプロセスを制度的担保しているかどうかを，できるだけ対策ごとに報告し，その実態をチェックするプロセスが望まれる．
■ IEA Energy Policy Review とのコラボレーション
温暖化対策の中心（そしてもっとも影響力の強い）部分となるエネルギー政策に関して，IEAの Energy Policy Review は非常に有益な情報を提供する．そこで指摘された事項も「留意しながら」国別報告書を作成するというような表現であるなら，ガイドラインとして認められる可能性はあるのではないだろうか．
■ 環境省以外の関与
温暖化問題自体は環境省の管轄であることが多いが，「GHG 削減に効く政策/対策」は，省庁にクロスカッティングな性格を持ち，とくに経済，エネルギー，交通セクターなどの政策と密接に関わってくる．そして環境省は調整官庁として実質的な権限を持たないことが多い．ただ，UNFCCC 関連のプロセスは（外務省が関与する場合もあるが）環境省を窓口に行われ，国内で実質的な政策立案/活動を行う他省庁まで，このプロセスが影響しにくい構造にあることが多い 16．報告書作成ならびに審査プロセスにおいて，他省庁の実質的な関与をできるだ
け義務づけるようなガイドラインなどの設定が望まれる．

条約は，排出量インベントリーの整備を行うことで，まず自らの排出状況を知るところから始まった．それは大きな意味を持つが，（個々のあるいは全体の）対策のパフォーマンスチェックにまで踏み込むためには，さらに詳細な情報（要因分析，原単位指標，どのような対策が効
果的か，重要度の横断的認識，外部専門機関からの指摘 など）が，次のステップの国別報
告書や隔年報告書とそれらの審査プロセスで重視されるべきであろう．
国別報告書と隔年報告書のどちらでこれらのことを扱うべきか？という点は，頻度という点と，これから新しく整備してくるという点，数値目標の進捗チェックという目的などから，とくに数値を扱うもの（要因分析，原単位情報提供/分析，モデルのチェックなど）に関しては，隔年報告

16

ポーランドの詳細審査でも，最終日の審査チームの発表時に出席していたのは環境省の
みであった
24

書 17 で扱うことが望ましい．一方，経験のシェアや施策のプライオリティー，政策/対策のPDCA サイクル面，IEA レビューとのコラボレーションなどは，4 年ごとの国別報告書マターと言えるであろう．

II-4. 今後に向けてのコメント（非附属書 I 国プロセスについて）2013 年以降，非附属書 I 国に関しても，隔年更新報告書という形での国別報告書の強化プ
ロセスや，NAMA の報告制度18 が導入される．途上国は，先進国よりもはるかに「ファシリテーション」という側面を強調することが望まれる．その意味で，現在の先進国に対する国別報
告書およびその詳細審査の経験をきちんと活かすことが望まれる．
ガイドラインとして，上記の先進国の場合とほぼ同様の要素を盛り込むことで，対策をファシリテートするという方向性を色濃くだすことができる．また，報告書を作成する途上国担当官のキャパシティービルディングにもなる．
NAMA MRV プロセスに関しても，現在は，CDM のような GHG 排出削減量を推計するための MRV のイメージを持っている人が多いと想定されるが，途上国の政策であるため，むしろ「きちんと対策が実施・カイゼンされていく」という PDCA サイクルをまわすための MRV という側面も，強調していきたい．
たとえば，以下のスライドイメージのように，LDC におけるオフグリッドエリアで戸別太陽光発電システム(SHS)を普及させる政策プログラムを NAMA とすると，
1. 無償配布 → 転売の発生→ 2. 自己負担率を 80%に → 導入者の減少→ 3. マイクロファイナンスの仕組みを導入→ ...
というような徐々に政策プログラムのパフォーマンスを上げていくために，何をモニターして，どれを分析し，カイゼンしていくか？というような点も，MRV の要素として認識していくことが望ましいであろう．Good practices のシェアも重要な側面となる．

17

隔年報告書は，国別報告書の提出年には，その一部にもなる．

18

NAMA は，隔年更新報告書という形で（表形式で）報告されるサマリー形式だけでなく，NAMA

Registry や二国間レベルでの国際的サポートを求める際に，かなり詳細に内容を記載した文書を作成・提出する必要性がある．後者のチャンネルを用いる場合には，事実上，それが公に明らかにされる．

25

MRV for Kaizen Improvements—Case Study: Off-Grid SHS—
Solar Home System!

Initial design (1st stage)
!

!

!

!

Key parameter: Ratio of households who properly utilizes the SHS!

Result: 25% (sold SHS in the market); 15% (battery did not work);
5% (wires are down)

Assessment and improvement of the design (2nd stage)= (kerosene
consumption
per household)* (number ofoperating SHS)y* (CO2 emission
factor of kerosene)

80% of the cost shall be paid by the household; Training/education system enhancement(for users and technician); Maintenance centers establishment by using carbon credit revenue

Monitoring (2nd stage)!

!

Deliver SHSs (PV) to the off-grid area household ‘free of charge’

Monitoring (1st stage)!

!

Management System of the programme?
Who monitors? Feedback process?
Emission reductions

Less than 40% of expected households installed SHS

Assessment and improvement of the design (3rd stage)!

Replacing existing subsidy system by micro-finance schemewith one-year, two-year and three-year types (by using ODA as its funding source)
1026

Photo: Grameen Shakti’s technician training center for poor women.

SubjectHost country experts

Break
Policies & measures in the energy sector. Q&A

27

Additional bilateral discussions on outstanding issues, if required.

UNFCCC secretariat/ Host
party rep's

09:00 - 16:00 Preparation of the draft IDR report by the ERT

Saturday, April 16

17:00 - 18:00 Review team meeting (preparation of findings)

ERT

16:45-17:00 Follow-up of the review week. Closing.

Host country experts

Host country experts

14:00-16:45 Presentation of the main findings of the review by the ERT. Discussions.

Lunch

09:00 - 14:00 Preparation of findings by the ERT; Bilateral discussions on any outstanding issues, if required.

Friday, April 15

16:30 - 18:00 Review team meeting (daily summary, preparation of findings)

14:00-16:30

Lunch

Role of the environmental NGOs and business NGOs in the climate change policy. Q&A.

09:00 - 14:00 Issues relating to formal education and training and public awareness raising. Q&A.

Thursday, April 14
Host country experts

Host country experts

16:30 - 18:00 Review team meeting (daily summary, preparation of findings)

Host country experts

Issues relating to research and systematic observation. Q&A

Host country experts

Host country experts

Issues relating to climate change impacts, vulnerability and adaptation.Q&A

Lunch

09:00 - 16:30 Policies and measures in industrial processes, agriculture, land use change and forestry, waste management. Q&A

Wednesday, April 13

16:30 - 18:00 Review team meeting (daily summary, preparation of findings)

Issues relating to funding and technology transfer (multilateral and regional programs, including information under Articles 10
and 11 of the Kyoto Protocol). Q&A.

Lunch

GHG projections: scenario definition, main assumptions, methodologies used, sectoral GHG projections, major drivers for
projected emissions. Total effect of policies and measures. Supplementarity, relating to the Kyoto Protocol mechanisms. Q&A.

09:00 : 16:30 Policies & measures in the energy sector, cont. Q&A

Tuesday, April 12
Host country experts

Host country experts

Lunch
Policies and measures: overall policy context, cross-cutting policies & measures. Q&A

ERT only

ERT only

ERT and host country experts

ERT and host country experts

ERT only

ERT only

ERT and host country experts

Rep's of ENGOs & BINGO's, ERT

ERT and host country experts

ERT only

ERT and host country experts

ERT and host country experts

ERT and host country experts

ERT only

ERT and host country experts

ERT and host country experts

ERT only

ERT and host country experts

ERT and host country experts

Host country experts

16:30 - 18:00 Review team meeting (daily summary, preparation of findings)

ERT and host country experts

Host country experts

Overview of reporting of supplementary information under Article 7 (national system under Article 5, paragraph 1, of the Kyoto
Protocol, national registry, Minimization of adverse impacts (Article 3.14) and adverse effects. Q&A

ERT and host country experts

ERT and host country experts

ERT and host country experts

Overview of GHG inventories: trends in GHG emissions and major drivers for GHG emission trends, Q&A

Host country experts

ERT and host country experts

Attendence

Annex A.

Break

Overview and national circumstances (overview of recent developments of climate change policy, overall domestic andinternational policy framework, etc.). Q&A

UNFCCC Secretariat

9:40 - 16:30

Host country experts

9:20-9:40 Approach and objectives of the NC5 review

Presenter

9:00-9:20 Welcome address by host country

Monday, April 11

Time

Draft schedule ICR_IDR_POL.xls

Annexes  In Country Visit のスケジュール

Annex B.

In Country Visit の最後段階の松尾による政策措置部分発表資料

COP14

THE FOURTEENTH SESSION OF THE CONFERENCE

OF THE PARTIESREVIEWTO THE UNITED
NATIONS
IN-COUNTRY IN-DEPTH
OF
FRAMEWORKCONVENTIONON
CLIMATECHANGETHE 5TH NATIONAL COMMUNICATION OF
1-12 DECEMBER 2008, POZNA!, POLAND
POLAND

April 15, 2011

Polices and Measuresimate change
t’s make a climate for changes!
Naoki Matsuo, Japan
April 15, 2011

Overview

•Reporting•

Policy framework•

Cross-Cutting PaMs•

Overall picture of GHG emmisions
OF THE PARTIES TO THE UNITED NATIONS•

Findings on PaMs in energy sector:
FRAMEWORK CONVENTION ON CLIMATE CHANGE

COP14a) Energy supply sectorb) RESc)

THE FOURTEENTH SESSION OF THE CONFERENCE

1-12 DECEMBER 2008, POZNA!, POLAND

Energy efficiencyd) Transport•

Industrial sector•

Agriculture sector•

Forestry sector•

Waste management sector•

2.3 and 3.14

imate change
t’s make a climate for changes!
•

Conclusions and recommendations

28

Reporting (ii) and Recommendations / Encouragements! Transparency could be increased [ERT]! Roles/responsibilities of the EU and Poland need clarity in the NC5! Tables for relevant EU Directives and transposed Polish Laws
! Categorization of ETS-covered and non-covered sectors is preferable! Overall picture, relative significance, prioritization and comparability! Rationale with analysis preferred! Quantification (even if rough figures) for some factors! Graphs, charts, figures, tables, ...
! Cost, potential, GHG reductions, co-benefits/concerns, barriers! Project-level cost-effectiveness can be provided by Funds! Comparison with other European countries

Reporting (i)! Poland has provided in its NC5 comprehensive, but concise information on its package ofpolicies and measures (PaMs) implemented, adopted and planned! [ERT] Notable progress found from NC4, e.g., summary table of PaMs.
! [ERT] Most ‘shall’ items are met, except for...
! How modifying longer-term trends! International aviation and marine bunker fuels (ICAO/IMO decisions)! Poland has met the reporting requirement generally, however the ERT found that still
information below, which are specified in the UNFCCC reporting guidelines, is insufficient! Quantitative estimation of effects of each policy and measure is missing! [ERT] Identification/assessment of relative significance is a crucial element.
! Identification of innovative and/or effectively replicable policy! [ERT] Thermo-Modernization Fund; White (& other) certificates(?) Good practices.
! Others! [ERT] Monitoring/evaluation of each PaM (progress/effectiveness) is unclear.
! [ERT] Cost/benefits analysis and co-benefits are not provided in a systematic way.
! [ERT] PaMs which may increase emissions are not analysed.

29

Policy Framework! Ministries for policy design and implementation! Ministry of the Environment (coordination), Ministry of the Economy (energy/industry),
Ministry of the Infrastructure (transportation/building) and others! No (permanent) inter-ministerial committee for Kyoto target attainment! Kyoto Protocol status [commitment: 94% of 1988 level]! Over-achieved! Targets of key policies

EU

Poland

–14% (2005–2020)–21% (ETS), –10% (non-ETS)

No active economy wide target
NAP (ETS, 64% of CO2), +14% (non-ETS)
Climate policy strategy (revised soon)

EnergyRenewables share: 20% [transp.: 10%]
Primary energy: –20%
Energy market liberalization

Renewables: 15% [transp.: 10%] (2020)
Non-ETS: saving –9% (‘01/05–16, non-binding)
Decoupling Energy/GDP, Energy intensity: EU-15
Energy security (coal/lignite, oil/gas, nuclear, RE, EE)
PEP 2030, NEEAP, Act on EE (coming TODAY!)
Renewable Energy Action PlanOthersIndustry (restructuring), Transportation,
Agriculture, Forestry, Waste Mngmnt

Industry (esp. restructuring), Transportation,
Agriculture, Forestry, Waste management

Climate

Cross Cutting PaMs
! EU-ETS (EU-driven)! Economic instrument; principal measure for energy & industry sectors! Energy taxation! High tax rate; Differentiation for several policy objectives! Financial mechanism (for financing and incentives)! National Fund for Environment Protection and Water Management, and other funds! Tradeable certificates (renewables, EE, CHP, biogas, natural gas, CBM)
! Key influential policies [ERT]! RE, EE (win-win)! Energy market liberalization, Restructuring of industries, Energy security(Diversification of oil/gas import sources, Coal/lignite mining of new deposits, Nuclear)! Encouragement [ERT]! Clarification [roles/relationship between EU policy; EU-ETS covered/non-covered]! Assessment of the impact of tax rate/price (elasticity) and fiscal measures

30

Overall picture of GHG EmissionsCO2'emissions'in'2009'with'sectoral'shares''
6.$$Waste$
0.1%$
3.$$Solvent$and$Other$
Product$Use$$
0.2%$

2.$$Industrial'
Processes'$
6.2%

1.A.1.$$Energy'
Industries$
53.7%
1.A.2.$$
Manufacturing'
Industries$and$Construc4on$
9.7%

1.A$Fuel'
Combus>on$94%$

1.A.3.$$Transport$
14.1%
1.A.4.$$Other'Sectors$
16.0%

1.B.$Fugi4ve$
Emissions$from$Fuels$
0.06%$

1.A.5.$$Other$
0.0%$

Energy Policy (PEP 2030)

Energy Efficiency [EU]
Renewable Energy [EU]
Nuclear Power

Energy SecurityOil/gas source diversification

Multi-beneficial objectives

Environment(esp., climate
mitigation)
[EU]

31

MarketLiberalization[EU]

PaMs in Energy Sector [Energy Industries (energy supply-side)]! Key area: Power sector dominated by aged coal/lignite power plants (ETS-covered)! District heating sector (aged), gas sector (monopoly)! Specific target for power sector: 0.95 (2007) to 0.70 t CO2/MWh (2030)! Policy! Replacement by state-of-art highly efficient coal/lignite power plants! Aged power network system renovation! Introduction of nuclear power plants (2020–)! Promotion of renewable power plants (wind, biomass, biogas)! Promotion of CHP! Promotion of methane use from coal mine (CBM/CMM(/VAM))! New technology (CCS, shale gas) – Options beyond 2020...
! Instruments! EU-ETS (w/ free-allocation and derogation(?))! Funds (RE, CHP) 1.8 Mt CO2 (2007)! Tradeable certificates (RE, CHP)

PaMs in Energy Sector [Energy Industries (energy supply-side)]! Encouragement [ERT]! Strong policy to invite timely investment in energy (esp. power) sector to avoid lock-in
2007-20102011-20152016-20202021-2025

2026-2030

2007-2030

Generation subsector(incl. CHP, renewables)

6.2

11.0

17.3

13.9

14.5

62.9

Transmission anddistribution subsector

2.9

5.4

5.7

4.1

3.8

21.9

Total

9.1

16.4

23.0

18.0

18.3

84.8

[billion Euros; Ministry of the Economy]

! Needed...
! Strong political signal! Reduce administrative/procedural complexity! Provide preferential financing arrangements! Long-term optimal energy-mix! Coal (shortage?), Nuclear (risk?), ...
! Others! Enhance good practices (e.g., certificates, funding)32

PaMs in Energy Sector [Renewables]! Target (2020)! Share in final energy consumption:

15%(8% in 2009, mainly biomass)! Basically on track! Current use status: Heating (90%), Electricity (8%), Transportation (2%)! Share in transportation fuels:
10%(0.7% in 2007)! Policy instruments! Green certificates (tradeable)! Set obligatory share for electricity suppliers (10.4% in 2010, 12.9% in 2017)! Effectiveness (incl. cost-efficiency) is monitored by Ministry of the Economy! Support from European Funds! Supply-side programme to increase bio-component of fuels! Tax and exercise duty exemption! Biogas promotion in agricultural sector! Future! Wind (incl. odd-shore), biomass/co-firing, biogas! Still investment is the key

PaMs in Energy Sector [Energy Efficiency]! Status! Much improved, but still worse than other EU countries! Targets! Non-ETS sector: –9% saving for 2001/05 average to 2016 (non-binding)! Decoupling of GDP growth and energy consumption (2030; PEP 2030)! Energy intensity at the level of EU-15 (2030; PEP 2030)! Policy instruments! Funding (esp., for thermo-modernization aspects)! Standards and codes for buildings (minimum level) and appliances! White certificates (new)and new measures will be introduced based on the coming Act of Energy Efficiency! Prioritized as the win-win solution with immediate effect and negative cost (!)! [ERT] Building sector measures shall be strengthened because it has huge and varietyof negative cost options, such as enhancement of energy auditing programme/
institution and other types of measures suitable for the option (incl. new DSM
measures like smart meter/grid)

33

PaMs in Energy Sector [Transport]! No specific (indicative) target for transport sector! Rapidly growing (dominated by passenger cars) and most difficult sector! Two types of approach! Energy efficiency! Transportation mode-wise! Modal shift! Bio-fuel! Policy instruments (basically harmonized with EU policy)! Taxation with exemptions! Fuel tax (with exemptions), vehicle purchase tax! Fuel economy standards! Speed limit, PR! Technology! Infrastructure/planning, energy efficiency improvement of rail transport, ...
! [ERT] CO2 reduction potential varies among scenarios (12–27% in relation to BaU, 2030, WB
report) The scenario can provide an long-term image of the future transportation modality in
PolandPaMs [Industrial Sector]! Not so energy-intensive in comparison with other EU countries! Food and automobile industries (GDP)! Iron/steel and chemical industries (GHG)! Basically covered and regulated by EU-ETS (incl. CO2 from cement sector)! Except for industrial non-CO2 gases (N2O from nitric acid dominates)! Key policy instruments! CHP promotion by yellow/red certificates! National Fund (and other funds) for (co-)financing investment! incl. GIS/JI (EAU auction revenue is planned to be used)! Notably, N2O (nitric acid production) reductions were successful! incl. co-financing of energy audit, ESCO
! Underlying influential policy! Hard coal mining sector restructuring! Horizontal industrial policy! [ERT] Integration to energy efficiency measures is effective

34

PaMs [Agriculture Sector]! Key Policy Programme! Rural Development Programme for 2007–2013! supported by European Agricultural Fund for Rural Development! Influential elements in the context of climate mitigation (total effects are marginal)! Land-use (e.g., rational farmland management)! Energy saving (CO2) (key)! Biogas use, plant biomass harvesting (CO2)! Cattle feeding (esp., ruminants) (CH4)! Cattle manure management (CH4)! Rational use fertilizer (N2O) (key)! Afforestation of agricultural land (CO2)

PaMs [Forestry Sector]! Key Policy Programme! Green Paper on Forest Protection and Information in the EU:
Preparing forests for climate change! Influential elements in the context of climate mitigation! Protection of forests! Sustainable management of forests! Fire prevention! Sustainable use of forests (C2I)! Afforestation! Target on forest cover! 29% (2008) to 30% (2020), 33% (2050)! Incentive scheme introduced35

PaMs [Waste Sector]! Key Policy programme [harmonized with EU policy]! The 2010 National Waste Management Plan (2010 NWMP)! Now 2014 NWMP overrides! Influential elements in the context of climate mitigation! Amount of waste (esp., commercial waste)! Recycling rate (esp., municipal waste)! Landfilling! Waste to energy

2.3 and 3.14

Minimization of adverse impacts
NIR 2010 provides several elements:– Clean coal technology development[ERT]

Possibly knowhows and experiences can be applicable to coal-dominateddeveloping countries– EU-harmonized actions to minimize adverse impacts related to international trade(e.g., generalized tariff preference; barrier on liberalization of env. goods/services trade)[ERT]

Poland has developed and implemented biogas technologies (heat andpower generation). The technologies and practices for promotion are neededin many developing countries

36

Conclusions and recommendations• Overalla) Utilization of potential/cost/benefit analysis for PaMs designb) Renovate MRV processes and introduce PDCA cycle• Project-specific information can be provided by Fundsc) Assess good practices quantitatively and seek their enhancements• Specifica) Investment promotion PaMs in the energy industry is the most influential partb) Building sector has huge and variety of negative cost options with almost no timelag for energy efficiency. Explore the options and design suitable PaMsc) Strengthening industrial sector’s energy auditing systemd) Utilizing JI and other means for options with barriers (e.g., VAM oxidization)e) Promotion of National GIS and JI for double dividend as additional financing option

page 63

Figure 29. Microeconomic Marginal Abatement Cost (MicroMAC) curve for Poland , 2030

Chemicals CCS, retrofit

Emission abatement cost
EUR/tCO2e80
70

Average cost:~10 EUR/tCO2e

Off-shore wind
Iron & Steel CCS, new built
Biomass co-firing

Retrofit building envelope, commercial

Biomass dedicatedDiesel LDV effectiveness60

Coal CCS
On-shore windGasoline LDV effectiveness

50

Biogas40
30

Nuclear20

New built efficiency package,
residential

10
0
-10 0

10

20

30

40

50

60

70

80

90

100

110

120

130

140

150

160

170

180

190

200

210

220

230

-20
-30

Organic soils
restoration

-40
-50

Advanced retrofit building envelope –residential

-60
-90

Abatement potential
MtCO2e in 2030

Landfill – gas electricity
generation

-100
-110
-120

Recycling new waste

-130
-150

CCS in downstream

Cogeneration

-70

-140

Iron & Steel CCS, retrofit

Basic retrofit building
envelope, residential

Note:
Not
Note:
e: Eac
E
Each
ach
h co
colu
column
lumn
mn is
is on
one
e of thethe 123
123 abaaabatement
bate
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ment
nt meammeasureseasu
sureress (o(onl(onlynlyy th
the
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igni
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med)d). Th
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heig
height
ight
ht of
of th
the
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columnsabatedcollumns iiss thtthe
he costt iinn € per abbattedd tC
tCO
O2e. ThTThe
he widwidth
idth
th iis th
the amouamountntt eemissionsmissi
i ions can beb red
reduced.
duced
d. SomeS
measures are sh
shown
hown
benefits
costs).
assumes
off nunuclearpower
beinstalled2030,
providingwith net
e b
e ef
en
e itss (n((negative
egative
eg
e co
ost
s s)
s). Thee scsscenarioe ario
en
o ass
ssum
u es that 6 GW
G o
uclea
e r popowe
er will be insts alleed by 203
030,
0, p
ro
ovidi
d ng
g
about
abou
ab
outt 1515%% of electricity.
ele
elect
ctri
rici
city
ty.
Source:McKinseyS
ource: M
cKi
Kinsey techttechnicalhniicall paper.

37

According to the analysis of the MicroMAC curve, mitigation measures will take some time to deliver lower emissions, and Poland may have some trouble meeting its 2020 EU targets. By 2020, emissions could be reduced by 20
percent against the BAU forecast, but this overall reduction translates to just 3 percent below 2005. By contrast, Poland
needs to reduce overall emissions by more than 4 percent relative to 2005, assuming that emissions from ETS sectors will
be reduced in line with EU-wide abatement (see Table 3 and note that the segmentation of sectors under EU rules creates2020
Reduction target

Step 4
Designing PaMs suitable for each option
2020

2020
Reduction
target2020

Step 5
Implementation(PDCA-cycle)

Plan
Act

Do

Check

COP14Dziękuję bardzo

THE FOURTEENTH SESSION OF THE CONFERENCE
OF THE PARTIES TO THE UNITED NATIONSFRAMEWORK CONVENTION ON CLIMATE CHANGE
1-12 DECEMBER 2008, POZNA!, POLAND

Thank you very much!
Climate change- let’s make a climate for changes!

38Annex C.

詳細審査でチェックする Annex I 国国別報告書のガイドライン

Key Provisions of UNFCCC Decisions and Reporting
Guidelines
A. UNFCCC reporting guidelines for Annex I National Communications
I. Introduction
1.
2.
3.
4.
5.
6.

NC shall be communicated in a single document (para 2)
NC shall be in one of the official languages of the United Nations (para 2)
Every effort shall be made to avoid over-lengthy NCs (para 2)
Parties shall also provide an electronic version of NC (para 2)
Parties shall structure their NCs following the outline contained in the annex to these guidelines (para 5)
No mandatory element shall be excluded. If mandatory elements cannot be reported for any reason,
Parties shall explain. (para 5)

II. Executive summary
1. A NC shall include an executive summary, of no more than 15 pages. (para 7)

III. National circumstances
1. Parties shall provide a description of their national circumstances, how national circumstances
affect GHG emissions and removals, and how national circumstances and changes in national
circumstances affect greenhouse gas emissions and removals over time. (para 8)
2. Parties requesting flexibility or consideration, in accordance with Article 4.6 and 4.10 of the Convention,
shall state the type of special consideration they are seeking and provide a full explanation of theircircumstances. (para 9)

IV. Greenhouse gas inventory information
1. Summary information shall be provided for the period from 1990 (or other base year) to the last but one
year prior to the year of submission of the NC (para 10)
2. At a minimum, Parties shall report the summary tables, including CO2-eq. emissions trend tables givenin the CRF. (para 11)

V. Policies and measures
1. Parties shall communicate information on PaMs adopted to implement commitments under Article
4.2(a) and (b). These need not have the limitation and reduction of GHG emissions and removals as a
1
primary objective. (para 13)
2. Parties shall organize the reporting of PaMs by sectors, subdivided by GHG (para 17)
3. Each sector shall have its own textual description of the principal PaMs, as set out in section D of theguidelines, supplemented by summary tables on PaMs by sector. (para 17 and footnote ‘a’ to table 1)
4. The presentation of each policy and measure shall include information on each of the following subject
headings: Name and short description of the policy or measure; Objectives of the policy or measure.
The GHG affected; Type or types of policy or measure. Status of implementation. Implementing entity
or entities. (para 22)
5. Parties shall provide information on how they believe their PaMs are modifying longer-term trends inanthropogenic GHG emissions and removals consistent with the objective of the Convention. (para 25)

VI. Projections and the total effect of policies and measures
1. Parties shall report a ‘with measures’ projection, encompassing currently implemented and adopted
PaMs. (para 29)

1

In providing information under part II, section V, of the guidelines for the preparation of national communications by Parties included in
Annex I to the Convention (FCCC/CP/1999/7), each Party included in Annex I shall specifically address policies and measures
implemented and/or further elaborated as well as cooperation with other such Parties in achieving its quantified emission limitation andreduction commitment under Article 3, in order to promote sustainable development. Such reporting shall take into account any relevant
decision by the COP and the COP/MOP resulting from the process for further consideration of the issue of policies and measures(decision 13/CP.7).
With respect to aviation and marine bunker fuels, each Party included in Annex I shall, in pursuit of Article 2, paragraph 2, of the Kyoto
Protocol, identify the steps it has taken to promote and/or implement any decisions by the International Civil Aviation Organization andthe International Maritime Organization in order to limit or reduce emissions of greenhouse gases not controlled by the Montreal
Protocol from aviation and marine bunker fuels.

39

2. Emission projections shall be presented relative to actual inventory data for the preceding years. (para31)
3. Projections shall be presented on a sectoral basis, to the extent possible, using the same sectoral
categories used in the PaMs section. (para 34)
4. Projections shall be presented on a gas-by-gas basis for the following greenhouse gases: CO2, CH4,
N2O, PFCs, HFCs and SF6 (treating PFCs and HFCs collectively in each case). (para 35)
5. In addition, projections shall be provided in an aggregated format for each sector as well as for anational total, using GWP values. (para 35)
6. Emissions projections related to fuel sold to ships and aircraft engaged in international transport shall,to the extent possible, be reported separately and not included in the totals. (para 36)
7. For Parties using a base year different from 1990 for their inventories, in accordance with Article 4.6 of
the Convention, actual data for that year shall be given. (para 37)
8. Parties shall present the estimated and expected total effect of implemented and adopted PaMs.
(para 39)
9. Parties shall provide an estimate of the total effect of their PaMs, in accordance with the ‘withmeasures’ definition, compared to a situation without such PaMs. This effect shall be presented in termsof GHG emissions avoided or sequestered, by gas (on a CO2 equivalent basis), in 1995 and 2000,(para 40)
10. To provide the reader with an understanding of emission trends in the years 1990 to 2020, Parties shallpresent relevant information on factors and activities for each sector. (para 48)

VII. Vulnerability assessment, climate change impacts and adaptation measures
1. A NC shall include information on the expected impacts of climate change and an outline of theaction taken to implement Article 4.1(b) and (e) with regard to adaptation. (para 49)

VIII. Financial resources and transfer of technology
1. In accordance with Article 12.3, Annex II Parties shall provide details of measures taken to give effectto their commitments under Article 4.3, 4.4, and 4.5, as follows. (para 50)
2. Parties shall indicate what “new and additional” financial resources they have provided pursuant to
Article 4.3. Parties shall clarify how they have determined such resources as being “new andadditional” in their NCs. In communicating this information, Parties shall complete table 3. (para 51)
3. Parties shall provide detailed information on the assistance provided for the purpose of assistingdeveloping country Parties that are particularly vulnerable to the adverse effects of climate change
in meeting the costs of adaptation to those adverse effects, in textual format and with reference totable 5 (“Bilateral and regional financial contributions related to the implementation of the Convention,
1997”). Similar tables shall be completed for 1998, 1999 and, if the information is available, for 2000.
(para 52 and note below table 5)
4. Parties shall provide any information on any financial resources related to the implementation of theConvention provided through bilateral, regional and other multilateral channels. (para 53)
5. Parties shall, when reporting details of measures related to the promotion, facilitation and financing of
the transfer of, or access to, environmentally-sound technologies, clearly distinguish between activities
undertaken by the public sector and those undertaken by the private sector. (para 54)
6. Parties shall, where feasible, report activities related to technology transfer, including success andfailure stories, using table 6 below. Parties shall also report their activities for financing access bydeveloping countries to "hard" or "soft" environmentally-sound technologies. (para 55)
7. Parties shall report information, in textual format, on steps taken by governments to promote,facilitate and finance transfer of technology, and to support development and enhancement ofendogenous capacities and technologies of developing countries. (para 56)

IX. Research and systematic observation
1. Parties shall communicate information on their actions relating to research and systematic
observation. (para 57)
2. The NC shall address both domestic and international activities (for example, the World Climate
Programme, the International Geosphere-Biosphere Programme, the Global Climate Observing System,and the IPCC). They shall also reflect action taken to support related capacity-building indeveloping countries. (para 58)
3. Parties shall provide summary information on GCOS activities (in accordance with paragraph 64 of the
UNFCCC reporting guidelines). (para 59)

X. Education, training and public awareness
1. Annex I Parties shall communicate information on their actions relating to education, training and publicawareness. (para 65)

40

commitments under Articles 10 and 11.

B. Reporting under Article 7, paragraph 2 of the Kyoto Protocol
1. Each Party included in Annex I shall provide a description of how it is performing the general and specificfunctions defined in the guidelines for national systems under Article 5, paragraph 1. The description
shall contain the following elements:(a) The name and contact information for the national entity and its designated representative withoverall responsibility for the national inventory of the Party(b) The roles and responsibilities of various agencies and entities in relation to the inventory
development process, as well as the institutional, legal and procedural arrangements made toprepare the inventory(c) A description of the process for collecting activity data, for selecting emission factors andmethods, and for the development of emission estimates(d) A description of the process and the results of key source identification and, where relevant,archiving of test data(e) A description of the process for the recalculation of previously submitted inventory data(f) A description of the quality assurance and quality control plan, its implementation and the quality
objectives established, and information on internal and external evaluation and review processes
and their results in accordance with the guidelines for national systems(g) A description of the procedures for the official consideration and approval of the inventory.
2. Where the Party included in Annex I has not performed all functions, the Party shall provide an
explanation of which functions were not performed or were only partially performed andinformation on the action planned or taken to perform these functions in the future.
3. Each Party included in Annex I shall provide a description of how its national registry performs thefunctions defined in the relevant decisions (on modalities for the accounting of assigned amounts andafforestation and reforestation project activities under the CDM), and complies with the requirements ofthe technical standards for data exchange between registry systems as adopted by the COP/MOP. The
description shall include the following information:(a) The name and contact information of the registry administrator designated by the Party tomaintain the national registry(b) The names of the other Parties with which the Party cooperates by maintaining their national
registries in a consolidated system(c) A description of the database structure and capacity of the national registry(d) A description of how the national registry conforms to the technical standards for data exchange
between registry systems for the purpose of ensuring the accurate, transparent and efficientexchange of data between national registries, the clean development mechanism registry and thetransaction log (decision 19/CP.7, paragraph 1)(e) A description of the procedures employed in the national registry to minimize discrepancies in theissuance, transfer, acquisition, cancellation and retirement of ERUs, CERs, tCERs, lCERs, AAUs
and/or RMUs, and replacement of tCERS and lCERs, and of the steps taken to terminatetransactions where a discrepancy is notified and to correct problems in the event of a failure toterminate the transactions(f) An overview of security measures employed in the national registry to prevent unauthorized
manipulations and to prevent operator error and of how these measures are kept up to date(g) A list of the information publicly accessible by means of the user interface to the national registry(h) The Internet address of the interface to its national registry(i) A description of measures taken to safeguard, maintain and recover data in order to ensure theintegrity of data storage and the recovery of registry services in the event of a disaster(j) The results of any test procedures that might be available or developed with the aim of testing theperformance, procedures and security measures of the national registry undertaken pursuant to theprovisions of decision 19/CP.7 relating to the technical standards for data exchange between registrysystems.
4. Each Party included in Annex I shall provide information on how its use of the mechanisms is
supplemental to domestic action, and how its domestic action thus constitutes a significant element of
the effort made to meet its quantified limitation and reduction commitments under Article 3, paragraph 1,
in accordance with the provisions of decision 5/CP.6.
5. Each Party included in Annex I shall also provide information not reported elsewhere under theseguidelines on how it strives to implement policies and measures under Article 2 of the Kyoto Protocol insuch a way as to minimize adverse effects, including the adverse effects of climate change, effects on
international trade, and social, environmental and economic impacts on other Parties, especiallydeveloping country Parties and in particular those identified in Article 4, paragraphs 8 and 9, of theConvention, taking into account Article 3 of the Convention.

41

6. Each Party included in Annex I shall report any relevant information on its domestic and regional
legislative arrangements and enforcement and administrative procedures, established pursuant to
the implementation of the Kyoto Protocol, according to its national circumstances. This information shall
include:(a) A description of any domestic and regional legislative arrangements and enforcement andadministrative procedures the Party has in place to meet its commitments under the Kyoto Protocol,
including the legal authority for such programmes, how they are implemented, and procedures foraddressing cases of non-compliance under domestic law(b) A description of any provisions to make information on these legislative arrangements andenforcement and administrative procedures (e.g. rules on enforcement and administrative
procedures, action taken) publicly accessible(c) A description of any institutional arrangements and decision-making procedures that it has inplace to coordinate activities related to participation in the mechanisms under Articles 6, 12 and 17,
including the participation of legal entities.
7. Each Party included in Annex I shall provide a description of any national legislative arrangements andadministrative procedures that seek to ensure that the implementation of activities under Article 3,
paragraph 3, and any elected activities under Article 3, paragraph 4, also contributes to theconservation of biodiversity and sustainable use of natural resources.
8. Each Party included in Annex I shall report its activities, actions and programmes undertaken infulfilment of its commitments under Article 10.
9. Each Party included in Annex I shall report on the steps it has taken to promote, facilitate and finance thetransfer of technology to developing countries and to build their capacity, taking into account Article 4,paragraphs 3, 5 and 7, of the Convention in order to facilitate the implementation of Article 10 of the
Kyoto Protocol.
10. Each Party included in Annex II shall provide information on the implementation of Article 11 of the
Kyoto Protocol, in particular information on what new and additional financial resources have been
provided, in what way these resources are new and additional, and how that Party has taken into
account the need for adequacy and predictability in the flow of these resources.
11. Each Party included in Annex II shall provide information on its contribution to the entity or entities
entrusted with the operation of the financial mechanism.
12. Any Party included in Annex I that has provided funding for the adaptation fund established inaccordance with decision 10/CP.7 shall report on its financial contributions to this fund. In doing so, theParty shall take into account the information reported in accordance with paragraph 6 of decision
10/CP.7.

C. Additional reporting requirements as stipulated in relevant decisions andconclusions by Parties
Decision 1/CP.10 “Buenos Aires programme of work on adaptation and response measures”
1. The Conference of the Parties,!12. Requests Annex II Parties to provide detailed information, includingin their national communications, on progress made on support programmes to meet the specificneeds and circumstances of developing country Parties arising from the adverse effects of climatechange;!18. Requests Annex II Parties to provide detailed information, including in their national
communications, on progress made on support programmes to meet the specific needs andcircumstances of developing country Parties arising from the impact of the implementation of
response measures;!

D. Reporting under Article 7, paragraph 1 of the Kyoto Protocol
Decision 15/CMP.1 “Guidelines for the preparation of the information required under Article 7 of the Kyoto
Protocol”, Part I. Reporting of supplementary information under Article 7, paragraph 1, Part H. Minimizationof adverse impacts in accordance with Article 3, paragraph 14.
23. Each Party included in Annex I shall provide information relating to how it is striving, under Article 3,
paragraph 14, of the Kyoto Protocol, to implement its commitments mentioned in Article 3, paragraph 1,of the Kyoto Protocol in such a way as to minimize adverse social, environmental and economic
impacts on developing country Parties, particularly those identified in Article 4, paragraphs 8 and 9, of
the Convention.
24. Parties included in Annex II, and other Parties included in Annex I that are in a position to do so, shallincorporate information on how they give priority, in implementing their commitments under Article
3, paragraph 14, to the following actions, based on relevant methodologies referred to in paragraph 11of decision 31/CMP.1:

42

(a) The progressive reduction or phasing out of market imperfections, fiscal incentives, tax and duty
exemptions and subsidies in all greenhouse-gas-emitting sectors, taking into account the need forenergy price reforms to reflect market prices and externalities;(b) Removing subsidies associated with the use of environmentally unsound and unsafe
technologies;(c) Cooperating in the technological development of non-energy uses of fossil fuels, and supporting
developing country Parties to this end;(d) Cooperating in the development, diffusion, and transfer of less-greenhouse-gas-emitting
advanced fossil-fuel technologies, and/or technologies, relating to fossil fuels, that capture and store
greenhouse gases, and encouraging their wider use; and facilitating the participation of the least
developed countries and other non-Annex I Parties in this effort;(e) Strengthening the capacity of developing country Parties identified in Article 4, paragraphs 8 and
9, of the Convention for improving efficiency in upstream and downstream activities relating to fossil
fuels, taking into consideration the need to improve the environmental efficiency of these activities;(f) Assisting developing country Parties which are highly dependent on the export and consumptionof fossil fuels in diversifying their economies.
25. Where the information referred to in paragraphs 23 and 24 above has been provided in earlier
submissions, the Party included in Annex I shall include information in its national inventory reporton any changes that have occurred, compared with the information reported in its last submission.
26. The secretariat shall annually compile the supplementary information mentioned in paragraphs 23 to
25 above.

-----

43

Annex D.

詳細審査に関して専門家審査チームに対する説明

In-depth review
of 5th national communication:briefing to the ERT
Inkar Kadyrzhanova

Secretariat of the United Nations
Framework Convention on Climate Change (UNFCCC)

1

Presentation outline• In depth review (IDR) mandate• IDR objectives• IDR scope• Review procedure and timeline• Expert review team
• Role of national experts• Steps of the review – focus for the ERT
2

44

IDR mandate:
Reporting under the UNFCC and its
Kyoto Protocol
Reporting under UNFCCC is mandated by:• UNFCCC reporting guidelines on national
communications (document FCCC/CP/1999/7, pages 80–100, decision 4/
CP.5)
Reporting under Article 7, paragraph 2 of the Kyoto Protocol:• Kyoto Protocol, Article 7.3: "...Each such Party shall submit the information
required under paragraph 7.2 above as part of the first national
communication due under the Convention after this Protocol has entered into
force for it and after the adoption of guidelines ....• Guidelines for the preparation of the information required under
Article 7 of the Kyoto Protocol, Part II Reporting of supplementary
information under Article 7, paragraph 2. (Decision 15/CMP.1)
Mandated deadline for submission of a fifth national communication - 1 January2010 (decision 10/CP.13)
3

IDR mandate:
Review under the Kyoto Protocol
Review mandate:
Guidelines for review under Article 8 of the Kyoto
Protocol (Decision 22/CMP.1, Part VII: Review ofnational communications and information on othercommitments under the Kyoto Protocol)
Each national communication submitted under the KP shallbe subject to a scheduled in-country periodic review(para 132, Decision 22/CMP.1)

445

Objectives
1.
2.

3.
4.

To provide a thorough and comprehensive technicalassessment of national communication and information
reported under Art 7.2 of the KP
To examine in an objective and transparent manner whether
quantitative and qualitative information was submitted by the
Party in accordance with the guidance for preparation of theinformation required under Art. 7 of the KP (15/CMP.1)
To assist Parties to improve reporting of information under
Article 12 of the Convention and Article 7 of the KP and in
the implementation of their commitments;
To provide COP/MOP and the Compliance Committeewith reliable information on the implementation of theConvention and its KP.
5

IDR scope:
UNFCCC& KP reporting elements
National circumstances
GHG trends

National system
National registry
Policies and measures (P&Ms)
Minimiz. of adverse impacts/effects

Projections and total effect of P&Ms

Supplementarity rel. to mechanisms

Financial resources and TT

Domestic&
regional
programs;
legislative
arrangements;
enforcement&
administrative
procedures;

Vulnerability and adaptation
Research and systematic observation

Information under Article 10

Educ., training and public awareness

6

46

Review procedures:
focus•

Focus of the review on problems identified during the assessment relating to individual
sections of the national communication, including supplementary information reported under
Article 7.2, shall be identified as relating to:– Transparency– Completeness– Timeliness•••

List of potential problems, if any, to be prepared on Saturday by the ERT and forwarded to
the Party. The Party have 6 weeks to provide additional information on the question raised.
Failure to submit any section of the NC shall be considered as a potential problem.
Problem pertaining to language of mandatory nature (shall) in the reporting guidelines (15/
CMP.1) that remain unresolved could be recorded by the ERT as a question of
implementation in the review report.
The IDR reports are forwarded to the Enforcement Branch of the Compliance Committee.
The IDR reports with the questions of implementation are considered by the Compliance
Committee and it decides if the QI remains and if the Party looses its eligibility to participate
in the mechanisms.

7

Review procedures:tasks for expert review team• compare NC5 with the requirements set by the UNFCCC
reporting guidelines and the requirements of the Guidelines
for the preparation of the information required under Art.7 of
the KP• assess NC5 technically, in a facilitative, open and transparent
manner• identify potential problems (if any) in the fulfillment ofcommitments relating to each part of the NC and to thereporting of supplementary information under Art. 7.2.
• work with the Party to resolve potential problems (if any)
identified during the review week

847

Review procedure:timeline for review report•

If additional information requested during the visit, it should
be provided within 6 weeks after the visit.
The ERT will prepare a draft in-depth review report based on
the findings during the review week within 8 weeks after incountry visit
The Party will review and comment the draft report within 4
weeks after receipt of the draft report
The ERT will consider the comments and produce final report
within 4 weeks of receipt of the comments
The report is published on the UNFCCC Website, forwarded
to the Compliance Committee and COP/MOP

•
•
•
•

9

Review procedure:expert review team•••Experts selected from the UNFCCC roster of experts;
4 members, including 2 lead reviewers;
geographical balance and balance of expertise

Expert/role

Party

Review area

MarinaShvangiradze

Georgia

National circumstances, emission trends, national system,
national registry
Policies and measures, minimization of adverse impacts andeffects

Ioannis Sempos

GreeceProjections, total effect of policies and measures,
supplementarity of KP mechanisms

Daniel Tutu Benefoh

Ghana

Vulnerability and adaptation, financial resources, technology
transfer, research and systematic observation, educationand public awareness

1048

Review procedure:
support from national experts
•
•
•
•
•
•

Cooperation – open and transparent;
Clear and focused presentations;
Understanding of the review mandate;
Sharing the knowledge on the national circumstances;
Patient – to answer numerous questions;
Flexibility – to be available for follow-up questions;Support from national experts is critical for the review to
become useful for the Party itself

11

Possible stepsof the preparation to the review
I. Completeness check of the NC
The ERT is encouraged to screen the NC5 for completeness. The
checklist provided by the secretariat containing mandatory and nonmandatory requirements may be used and filled for this purpose.
II. Substantive review of the NC
The purpose of the questions provided below is to help the ERT to
critically scrutinise the substance of the review materials and to
identify the possible overlap/links among the trends/PaMs andprojections.
III. Consistency check
Is the NC5 internally coherent - is the reporting of PaMs and projections
consistent (Does the PaMs chapter and the projection chapter covers
the same time frame? Do both chapters provide the same estimate forthe effect of PaMs? )12

49

ERT involvement in the review
I. Phase – Preparation for the review
II. Phase – Review week
III. Phase – Follow-up of the review week
Please envisage that the review will take at least 10
working days of your time.
13

Questions for clarification
The ERT could raise questions prior the review week related to the following areas:
1. Completeness. Request to provide the missing mandatory reporting element.
(for example: The UNFCCC reporting guidelines states that “To ensure completeness, no
mandatory element shall be excluded. If mandatory elements cannot be reported for any
reason, Parties shall explain the omission or the reason for partial reporting in the section
relating to that element.” Therefore, please explained the reason for partial reporting, as
required by the guidelines. )2. Update of information. Request to update the information provided in the NC5. (Pleaseprovide the information on the policy developments which took place after the
publication of the NC5. Please provide a copy of the newly published relevant
documents or the web-link to these documents. )3. Substantive questions related to each chapter.
4. Consistency across the chapters.
(for example: Why different reporting period have been chosen for the PaMs chapter and the
projections chapter? )The ERT should focus on substantive questions as these are the critical questions that would
require particular expertise of the ERT members.

1450

Preparation for the review week
Steps
1.

Tools

OutputTimeline

Checklist

Filled checklist

2 weeks before
the review

Guidance
on issues

Questionsto the Party

2 weeks before
the review

Reporttemplate

Draft report,
gaps identified

First day of thereview week

Completeness check- are all mandatory requirements reported?

2.

Technical assessment- is reporting transparent?

3.

Draft report- what are remaining questions/gaps I will
clarify during the review week?

15

Review week
Steps

Tools

PPT template&examplesof the ppt

OutputTimeline

Presentation ofreview findings

Thursday afternoon

Conclusions andrecommendationsof the report

Friday afternoon ERT wrap-up
meetingZero order draftof the chapters

Saturday noon of thereview week

Technical
assessment

Report template,examplesof IDR reports



16

51

Follow-up of the review week:
subject to the ERT consent and decision
Steps
1. Incorporation of theremaining
informationfrom the Party
2. Preparation of final
draft report
Are all chapters of the report

Tools

OutputTimeline

Report template

Final chapters

2 weeks after thereview week

Report template

Final draft report

4 weeks after thereview week

Template on how
the ERT addressed
Parties comments

Final report

14 weeks after thereview weekconsistent?

3. Incorporation ofPartiescomments

17

GOOD LUCK!


18

52

Annex E.

詳細審査のガイダンス

NC5 IDR Guidance to the ERTNATIONAL COMMUNICATIONS OF ANNEX I PARTIES:TENTATIVE LIST OF ISSUES RELEVANT TO THE PREPARATION AND
UNDERTAKING OF IN-DEPTH REVIEWSThis list of issues and questions is intended to guide reviewers and country
officials on the elements review teams would seek to examine in preparing in-depth
reviews. While not an exhaustive list, it can be used as a reference list of genericquestions to be discussed during in-depth review visits. Priority issues areinventories, national policies and measures and their relation to projections, sincethese were in general the least clear issues in the communications. The
implementation of the “review guide” under the Convention should help to gain
experience for the future reviews under the Kyoto Protocol.
While intended to be a "review guide ", it should also be adapted to thespecific circumstances of Parties under review. Therefore, it may not be necessary
to raise all the issues listed with all countries, since for some of them theinformation is sufficiently clear in the communication and/or in supporting
material provided.
I. NATIONAL CIRCUMSTANCES RELEVANT TO GREENHOUSE GASEMISSIONS AND REMOVALS
Purpose of the review: For a general understanding of the context in whichcountries are implementing the Convention, the team would benefit from going
through the following set of questions and issues:
1.
What is the institutional framework and how climate change policies areorganized; possible interministerial committees, responsibilities and involvement of
the sectoral ministries/agencies including finance (taxes/budgets), responsibilities offederal versus "provincial"/local government level, NGO involvement?
2.
What are the responsibilities and involvement of ministries and otherinstitutions in preparing the communication and in carrying out national climatechange-related policies?
3.
What is the national context relevant to GHG emissions and removals: (a)economic structure and recent developments; (b) energy balances, current situation,short and long term prospective; (c) relevant political and economic
decisions/constraints defining the scope for national efforts to mitigate or adapt toclimate change (d) how national circumstances are affecting GHG profile and trends?
4.
What are the national and international targets, such as targets under the
UNFCCC, the Kyoto Protocol and the EC Bubble? What are the principles guiding
the policies and measures, such as comprehensiveness, cost-effectiveness, time
perspective, conditionality on targets and/or specific policies and measures, revision"mechanisms". To what extent are climate change considerations featured in sectoral
policies/plans?
153III. POLICIES AND MEASURES
Purpose of the review The team should study PaMs from the point of view of
their comprehensiveness (coverage of all emissions and sectors), balance (adequate
attention is given to the most important sources) and effectiveness ( PaMs deliver
mitigation effect expected).
In general, the ERT will follow the UNFCCC reporting guidelines, whichstates that the Party 'should give priority to PaMs which have the most significant
impact' and that 'which are innovative and/or effectively replicable by other Parties'.
In regard to the supplementary information to be reported in the NC5 in
conjuction with the PaMs, please see, if and how "Domestic and regional
programmes and legislative arrangements and administrative procedures inaccordance with Article 2 of KP" are addressed in the NC5.
Cross-cutting issues
16.
What is the institutional arrangement for PaMs? To what extent thepresentation of information follows the UNFCCC guidelines (ensure that table 1 ispresented)? How is the effectiveness of the policies and measures monitored overtime? Are progress reports available? What processes/systems are in place to adjust
policies and measures over time?
17.
Parties are requested to provide information on the policies and measures
adopted to implement its commitments under Article 4.2 (a) and (b) and a specificestimate of the effects that these policies and measures. They should give priority to
PaMs or combination of PaMs, which have significant effect on GHG emissions andremovals.
18.
Identify the Party's major sources of GHG emissions in the various sectors of
economic activity and assess the package of measures (and their significance) being
planned or implemented to mitigate emissions in each sector of activity. Does the
package of measures reflect the structure of emissions by sources and sinks according
national inventory?
19.
Assess status of implementation of the complete package of measures andassess estimates for their effects for 2000 and beyond.
20.
What additional measures are being considered to enable the Party to meet its
goals/aims/commitments under the UNFCCC and Kyoto Protocol?
21.
To what extent are measures motivated by climate change concerns? Have
non-GHG benefits of the actions been quantified/considered?
22.
Are there PaMs under consideration which require or involve international
cooperation (fiscal measures, expected trade impacts, transboundary impacts, etc.)
23.
Has the country identified measures which are particularly promising,innovative or replicable?
54

3

24.
Has the Party provided information on policies and measures relevant to
Article 4.2(e)(ii), (e.g. subsidy removal)? Reported on P&Ms that potentially could
increase emissions?
PaMs reported by sector and by gas
25.
The various policies and measures should be described by sector and by gas(note the difference with the old guidelines) following the categories set out in the
UNFCCC guidelines (energy, transport, industry, agriculture, forestry and waste
management. To facilitate transparency, enough detail should be provided about eachpolicy/measure to allow a third party to understand its objective and degree of
implementation, as well as how the GHG effects of actions are monitored over time.
26.
In order to facilitate the full understanding of a Party's efforts in mitigatingclimate change, the in-depth review should verify the following information on eachmajor individual policy or measure. According to 4/CP.5 this shall include thefollowing information on individual policies and measures:a) Name and short description of policy and measure;b) Objectives of policy or measure , including activities and sources/sinks
affected;c) The GHG affected;d) Type of PaMs;e) Status of implementation;f) Implementing entity or entities.
27.
In addition, the description should also include quantitative estimate of effects
of individual PaMs or collections of PaMs. It may also include information about
costs, non-GHG mitigation benefits and how the PaM interacts with the other PaMs atnational level.
28.
If measures are still in a planning stage, what administrative, legislative orother governmental action is needed to implement the measure? Have the decisions tofund these measures been made? and by which level of government?
29.
Assess fiscal and budgetary effects of each individual measure being plannedor already implemented (taxes, subsidies, credit incentives, public finance). Has acarbon tax been implemented? If yes, what type and when was it implemented? Anyother fuel taxes?
30.
It would be desirable to explore how Parties intend to strengthen/improve theircurrent assessment of the effects of PaMs in meeting their commitments under theConvention and the Protocol.
More specifically, you may assess/raise questions with regards to the following:
1. Overall policy context and targets (KP targets and also the newest
unilateral target by the Party);

455

2. How different policy instruments complement each other within the climate portfolio
to fully cover emission sources and enhance the effectiveness of the individual
instruments?
3. PaMs implemented at the national level and at the next level of regions/local
authorities (Do PaMs at national and local governments overlap? If so, how theeffects of these PaMs could be distinguished?)
4. How PaMs are contributing to meeting the KP targets and also to modifying thelonger term trends of GHG emissions;
5. How PaMs are monitored and evaluated over time? What are institutionalarrangements for monitoring of GHG mitigation policy?
6. PaMs targeting emissions from bunker fuels.
7. PaMs that are no longer in place (discontinued) and why;
8. Information about the costs of PaMs;
9. Are there estimates of adverse effects of policies and measures?
10. Which PaMs of those implemented are considered by the most cost-effective,
innovative or replicable?
11. Are there any plans to strengthen/improve the current assessment of the effects of
PaMs in the future?
IV. PROJECTIONS AND THE TOTAL EFFECT OF POLICIES AND
MEASURES
Purpose of the review: Overall the team should look for robustness ofprojections a tool for policy making. This should be achieved through discussing
assumptions, modelling approaches, results and sensitivity of these results, andpossibly discussing sectoral development also with relevant stakeholders. Moredetailed tasks:
31.
What is the institutional arrangement for the preparation of projections and towhat extent the reporting guidelines are met (use of the recommended table anddiagram)?
32.
Check whether projections are given for all gases, and if not, why (lack ofadequate methods/information, too high uncertainty, etc.?). What is the coverage ofsources and sinks? Are projections related to emissions from fuel use in international
ships and aircrafts reported separately? Is there a correspondence with inventory interms of coverage of gases and sectors and the starting point of projections?
33.
What is the approach to scenarios definition, including “without measures”,“with measures” and “with additional measures” scenarios? How the total effect of
PaMs is estimates, i.e. as cumulative effect of individual PaMs, or as a difference
between “without measures” and “with measures” scenarios?
34.
Check the methodology and approaches used for projection of the different
gases and their uncertainties (model-based or "handmade", sectoral or comprehensive,
relation to economic projections, etc.). If all GHG were not considered, what steps
are being taken to prepare for their projections in the future?

56

5

35.
What was the original purpose of the models and approaches used for
projections? What are the their strengths and weaknesses? How they account for any
overlap and synergy between different PaMs?
36.
The Party should have provided information on effects of individual polices
and measures. Which methods were used to calculate these? How do thesecalculations relate to the total estimate of effects of policies and measures (and thewith measures scenario)?
37.

Which are the assumptions underlying the future emission trends:a) Check assumptions on available energy sources and costs (politically
acceptable expansion or restructuring of the energy system -- nuclear, coal,gas, hydro, other renewable, CHP, district heating, etc. Country-specificsituation like fluctuations in hydro power availability from year to year,etc.);b) Assumptions on the future development of energy markets and its impact
on emissions (e.g., possible deregulation of domestic electricity markets
and exports/imports, availability of natural gas, development of"indigenous fuels", assumptions on future production of nuclear energy,etc.);c) Assumptions of technological development in the projections (energy
efficiency improvements in the economy as a whole and in different
sectors);d) Assumptions on electricity imports now and in the future -- treatment ofemissions;e) Have potentially important variables (population, agriculture, forestry,
etc...) been excluded?

38.
Check and analyse trends in different sectors and overall emission trends.
What is the effect of policies and measures in different scenarios (aggregated on
sectoral or overall level)? What are the effects of climate P&Ms versus other P&Ms
that also influence emissions? How do the effects vary with the level of international
implementation of the measure (e.g. international tax). Are there estimates of adverse
effects of policies and measures?
39.
Consideration of starting points (e.g. are industries already relatively energy
efficient from an international comparison or is there more to gain from utilizing
existing potentials?.
40.
Is there consistency between projections 1995 - 2000 and actual development
1995 - 2000 and in key factors (GDP growth, prices on energy commodities, etc.);
41.
What are the uncertainty levels of projections? How sensitive are projections
to key variables? How sensitive are they to various types of measures
42.
Check how key factors (prices on oil/coal/gas, GDP growth) influence theeconomy and emissions scenarios, how sensitive emissions are to changes in these,57

6and how the uncertainty is reflected in the countries strategies (would change be madeto P&Ms as response to changes in key parameters, and if discussed, how?)
43.
Has any future work been mentioned in the area of projection of effects ofmeasures?
V. VULNERABILITY ASSESSMENT, CLIMATE CHANGE IMPACTS AND
ADAPTATION MEASURES
Purpose of the review: To assess the extent to which a Party has formulated
and/or implemented measures to facilitate adequate adaptation to climate change.
44.
What is the involvement of ministries and institutions in co-ordinating efforts
in this area?
45.

Has the Party, in accordance with the revised guidelines, provided:(a)A framework on responsibilities and involvement of ministries and otherinstitutions in this activity;(b)

Brief information on the expected socio-economic or ecological impactsof climate change (risk assessment);(c)

Information on actions taken to implement Article 4.1 (b) and (e),including measures addressing adaptation responses to climate change?

46.
Check for awareness/studies reflected in the communication (types of impacts,
economic consequences, etc.).
47.
Check for studies or actual implementation of measures (modification of
construction design codes, diversification of recreational activities in ski resorts,
coastal zone planning, water resources, agriculture, rehabilitation of areas).
48.
Has the Party satisfied commitments under Article 4.1 (b) (programmes
containing measures to mitigate climate change) and Article 4.1 (e) (co-operation with
Non-Annex I Parties in preparing for adaptation)?
VI. FINANCIAL RESOURCES AND TRANSFER OF TECHNOLOGY
Purpose of the review: To determined the extent to which a Party has
provided new and additional financial resources to meet their commitments under
Article 4.3 (funds to the financial mechanism) Article 4.4 (adaptation costs) and
Article 4.5 (technology transfer). The review team should explore the degree of
implementation on these articles, including an assessment of new and additional
funding provided thorough bilateral, regional or other multilateral sources.
(Note: In case the Party being reviewed has an economy in transition (EIT)
relevant information from the recipient perspective could be gathered, as well as on
58

7

technological cooperation between EIT Parties and other non-Annex I Parties, as a
response to Art. :4.1 (c)).
49.
What is the involvement of ministries and institutions in co-ordinating efforts
in this area?
50.
What information has been provided on provision of resources? Have tables 3,
4, 5 and 6 been used to report information?
51.
What is the country’s definition of “new and additional”? How havecountries reported "new and additional", particularly with regard to information
presented in table 3.
52.
Has information been reported on financial resources through bilateral,
regional and any other channels. Check for completion of tables 4 and 5 of theguidelines? If not completed, Party should give explanation.
53.
Has information been reported on financial resources through bilateral,
regional and any other channels to assist developing countries that are particularly
vulnerable? Check for completion of table 5 of the guidelines, with regard to thosecountries. If not completed, Party should give explanation.
54.
What measures (public and private) have been taken to promote, facilitate andfinance transfer of or access to environmentally sound technologies? Has information
been reported on technology transfer activities including success and failure stories?
Check for completion of table 6 of the guidelines. If not completed, Party should give
explanation.
55.
Some indication could be given on the extent to which programs emphasize
mitigation, adaptation and/or capacity building; what sectors are priorities; possible
quantification of bilateral aid flows supportive of the implementation of theConvention.
56.
Other issues could include: Mitigation projects, emission limitation versus sinkenhancement (forestry), Adaptation projects (studies versus "physical" projects), Roleof capacity building in projects (inventories, country studies, observation andmonitoring etc.), Integration of climate change "concerns" in general aid programs.
57.
What assistance, if any, has been given to economies in transition: level ofinvolvement, which countries, types of projects, use of channels (bilateral, regionaletc.).
VII. RESEARCH AND SYSTEMATIC OBSERVATION
Purpose: To determine the extent to which Parties are fulfilling their
obligations in promoting and cooperating in scientific and technical research andsystematic observation of the climate system.
58.

Has the Party, described:
59

8

(a)

International and domestic actions relating to research and systematic
observation; (climate modelling, monitoring "fingerprints" of climatechange on ecosystems);(b)

Actions to support technical research capacity building;(c)Relevant social, economic and technical R&D (also covered in policies
and measures section)?

59.
Has the Party satisfied its commitments under Article 5 of the FCCC
(including assistance to developing countries enabling these to participate in R&D
efforts)?
60.
Has the Party provided summary information on its global climate observing
system (GCOS)? If yes, refer to detailed UNFCCC reporting guidelines for GOCS?
VIII. EDUCATION, TRAINING AND PUBLIC AWARENESS
Purpose: To review the actions taken by a Party in promoting and cooperating
in climate change education and public awareness at the national, regional andinternational levels.
61.
Has the Party reported on actions on education, training and public awareness,both domestic and international?
62.
Has the Party provided information on the extent of public participation in
addressing climate change (e.g., in developing policies and measures, in information,in the drafting of the communication or simply information on the drafting processitself)?
63.
What is reported on meeting the commitments under Articles 4.1 (i) (education,
training ... and encourage widest participation in this) and Art. 6 (education andtraining) of the FCCC?
64.
How the impact of public awareness campaigns is monitored? What are theresults?
65.

What is the role and involvement of NGOs?
-----

60

9

AnnexIF.
Annex

附属書 I 国の隔年報告書のガイドライン

UNFCCC biennial reporting guidelines for developed
country Parties
I.

Objectives
1.
The objectives of these guidelines for preparing the biennial reports are thefollowing:(a)
To assist Parties included in Annex I to the Convention (Annex I Parties) inmeeting their commitments for reporting under Articles 4 and 12 of the Convention
enhanced by decision 1/CP.16;(b)
To ensure the provision of consistent, transparent, comparable, accurate andcomplete information by developed country Parties;(c)
To ensure that the biennial reports include information on the progress ofAnnex I Parties in achieving their quantified economy-wide emission reduction targets,projected emissions, and the provision of financial, technological and capacity-building
support to Parties not included in Annex I to the Convention (non-Annex I Parties);(d)
To facilitate the international assessment of emissions and removals related
to progress towards the achievement of the quantified economy-wide emission reduction
targets; 5(e)
To facilitate reporting by Annex I Parties of information on any economic
and social consequences of response measures.

II.

Information on greenhouse gas emissions and trends
2.
Summary information from the national greenhouse gas (GHG) inventory on
emissions and emission trends prepared according to “Guidelines for the preparation ofnational communications by Parties included in Annex I to the Convention, Part I:
UNFCCC reporting guidelines on annual greenhouse gas inventories” (UNFCCC Annex I
inventory reporting guidelines) shall be prepared for the period from 1990 to the latest year
in the most recent inventory submission available. The information provided in the biennial
report should be consistent with that provided in the most recent annual inventory
submission, and any differences should be fully explained.
3.
Annex I Parties shall provide summary information on their national inventoryarrangements in accordance with the reporting requirements related to national inventoryarrangements contained in the UNFCCC Annex I inventory reporting guidelines, and on thechanges in these national inventory arrangements since its last national communication orbiennial report.

5

According to decision 1/CP.16, paragraph 44.
31

61

III.

Quantified economy-wide emission reduction target
4.
Each Annex I Party shall describe its quantified economy-wide emission reduction
target, including any conditions or assumptions that are relevant to the attainment of thattarget, as communicated to the secretariat and contained in document
FCCC/SB/2011/INF.1/Rev.1 or any update to that document.
5.
The description of the Party’s economy-wide emission reduction target shall include
the following information taking into consideration any relevant decisions of theConference of Parties (COP):(a)

Base year;(b)

Gases and sectors covered;(c)
Global warming potential values as established by the relevant decisions
adopted by the COP;(d)Approach to counting emissions and removals from the land use, land-use
change and forestry (LULUCF) sector, taking into consideration any relevant decisions
adopted by the COP;(e)
Use of international market-based mechanisms in achieving its emission
reduction target, taking into consideration any relevant decisions adopted by the COP,
including a description of each source of international units and/or allowances from marketbased mechanisms and the possible scale of the contributions of each;(f)
Any other information, including relevant accounting rules, taking into
consideration any relevant decisions of the COP, where appropriate;

IV.

Progress in achievement of quantified economy-wide
emission reduction targets and relevant information

A.

Mitigation actions and their effects
6.
Each Annex I Party shall provide information on its mitigation actions, including
policies and measures it has implemented or plans to implement since its last national
communication or biennial report to achieve its economy-wide emission reduction target.
To the extent appropriate, Parties shall organize reporting of mitigation actions by sector(energy, industrial processes and product use, agriculture, LULUCF, waste and othersectors); and by gas (carbon dioxide, methane, nitrous oxide, hydrofluorocarbons,
perfluorocarbons and sulphur hexafluoride).
7.
Each Annex I Party shall provide information on changes in its domestic
institutional arrangements, including institutional, legal, administrative and procedural
arrangements used for domestic compliance, monitoring, reporting, archiving of
information and evaluation of the progress towards its economy-wide emission reduction
target.
8.
Each Annex I Party is encouraged to provide, to the extent possible, detailed
information on the assessment of the economic and social consequences of response
measures.

32

62

B.

Estimates of emission reductions and removals and the use of units
from the market-based mechanisms and land use, land-use change andforestry activities
9.
For the base year, information reported on the emission reduction target shall
include the following:(a)

Total GHG emissions, excluding emissions and removals from the LULUCF

sector;(b)
Emissions and/or removals from the LULUCF sector based on the accounting
approach applied taking into consideration any relevant decisions of the COP and theactivities and/or lands that will be accounted for;(c)

Total GHG emissions, including emissions and removals from the LULUCF

sector.
10.
For each reported year, information reported on progress made towards the emission
reduction targets shall include, in addition to information noted in paragraph 9(a)–(c),information on the use of units from market-based mechanisms.

V.

Projections
11.
Each Annex I Party shall report the updated projections for 2020 and 2030
consistent with the UNFCCC reporting guidelines on national communications. 6
12.
Each Annex I Party should report on the changes since its most recent national
communication in the model or methodologies used for preparation of projections andprovide supporting documentation.

VI.

Provision of financial, technological and capacity-building
support to developing country Parties
13.
Annex II Parties shall provide information on the provision of financial,technological and capacity-building support to non-Annex I Parties consistent with therequirements contained in section VIII of the UNFCCC reporting guidelines on national
communications, 7 following common reporting formats, 8 including information to show
how this support is new and additional. In reporting such information, Parties should
distinguish, to the extent possible, between support provided to non-Annex I Parties for
mitigation and adaptation activities, noting capacity-building elements of such activities,
where relevant. For activities with multiple objectives, the funding could be reported as acontribution allocated partially to the other relevant objectives.
14.
Each Annex II Party shall provide a description of its national approach for trackingof the provision of financial, technological and capacity-building support to non-Annex I
Parties, if appropriate. This description shall also include information on indicators used,delivery mechanisms and allocation channels tracked. If this information was already

6

FCCC/CP/1999/7. (“Guidelines for the preparation of national communications by Parties included in
Annex I to the Convention: Part II: UNFCCC reporting guidelines on national communications”).
7
FCCC/CP/1999/7. (“Guidelines for the preparation of national communications by Parties included in
Annex I to the Convention: Part II: UNFCCC reporting guidelines on national communications”).
8
To be developed.

63

33

reported in the national communication, the biennial report should only report changes tothis information.
15.
In reporting information, in accordance with paragraphs 17 and 18 below, Annex II
Parties shall use any methodology to be developed under the Convention taking into
account the international experience. Annex II Parties shall describe the methodology usedin their biennial reports. Annex II Parties shall report in a rigorous, robust and transparent
manner the underlying assumptions and methodologies used to produce information on
financing.

A.

Finance
16.
Each Annex II Party shall describe, to the extent possible, how it seeks to ensure thatthe resources it provides effectively address the needs of non-Annex I Parties with regard toclimate change adaptation and mitigation.
17.
Each Annex II Party shall provide information on the financial support it has
provided, committed and/or pledged for the purpose of assisting non-Annex I Parties tomitigate GHG emissions and adapt to the adverse effects of climate change and any
economic and social consequences of response measures, for capacity-building andtechnology transfer in the areas of mitigation and adaptation, where appropriate. To that
end, each Annex II Party shall provide summary information in a textual and tabular format
on allocation channels and annual contributions for the previous two calendar or financial
years without overlaps with the previous reporting periods, including, as appropriate, to thefollowing:(a)
The Global Environment Facility, the Least Developed Countries Fund, theSpecial Climate Change Fund, the Adaptation Fund, the Green Climate Fund and the TrustFund for Supplementary Activities;(b)

Other multilateral climate change funds;(c)Multilateral financial institutions, including regional development banks;(d)Specialized United Nations bodies;(e)Contributions through bilateral, regional and other channels;

18.
Each Annex II Party shall provide the summary information, referred to inparagraph 17 above, for the previous two calendar or financial years in a textual and tabularformat on the annual financial support that it has provided for the purpose of assisting nonAnnex I Parties, including the following:o
The amount of financing (including the amount in original currency and its
equivalent in United States dollars/international currency);o

The type of support (for mitigation and adaptation activities);oThe source of funding;o

The financial instrument;oThe sector;o
An indication of what new and additional financial resources they haveprovided pursuant to Article 4, paragraph 3, of the Convention; Parties shall clarify how
they have determined that such resources are new and additional.
19.
Recognizing that the goal of mobilizing the financial resources referred to indecision 1/CP.16, paragraph 98, includes private financial sources, Annex II Parties should
34

64Annex II Parties should specify the types of instruments used in the provision of20.
their assistance, such as grants and concessional loans.

B.

Technology development and transfer
21.
Each Annex II Party shall provide information on measures taken to promote,facilitate and finance the transfer of, access to and the deployment of climate-friendly
technologies for the benefit of non-Annex I Parties, and for the support of the development
and enhancement of endogenous capacities and technologies of non-Annex I Parties.
Parties may also provide information on success and failure stories.
22.
Each Annex II Party shall provide, in textual and tabular formats, information on
measures and activities related to technology transfer implemented or planned since its last
national communication or biennial report. In reporting such measures and activities,
Annex II Parties shall, to the extent possible, provide information on the recipient country,
the target area of mitigation or adaptation, the sector involved, the sources of technology
transfer from the public or the private sectors and distinguish between activities undertakenby the public and private sectors.

C.

Capacity-building
23.
Each Annex II Party shall provide information, to the extent possible, on how it has
provided capacity-building support that responds to the existing and emerging capacitybuilding needs identified by non-Annex I Parties in the areas of mitigation, adaptation, andtechnology development and transfer. Information should be reported in a textual andtabular format as a description of individual measures and activities.

VII.

Other reporting matters24.
Annex I Parties are encouraged to report, to the extent possible, on the domesticarrangements established for the process of the self-assessment of compliance withemission reductions in comparison with emission reduction commitments or the level ofemission reduction that is required by science. Annex I Parties are encouraged to report, tothe extent possible, on the progress made in the establishment of national rules for taking
local action against domestic non-compliance with emission reduction targets.
25.
Annex I Parties are encouraged to report any other information that the Party
considers relevant to the achievement of the objective of the Convention and suitable forinclusion in its biennial report.

VIII.

Reporting26.
The information identified in these guidelines shall be communicated by Annex I
Parties to the secretariat electronically and shall be in one of the official languages of theUnited Nations. Parties are encouraged to submit an English translation of the biennial
report to facilitate its use in the review process.

IX.

Updating of the guidelines

35

27.
These guidelines shall be revised, as appropriate, taking into consideration any
relevant decisions of the Conference of Parties.

65Annex G.

Annex IIIAR の modalities and procedures

Modalities and procedures for international assessment andreview
I.

Objectives of the international assessment and review process
1.
The overall objectives of the IAR process are to review the progress made inachieving emission reductions and assess the provision of financial, technological, andcapacity-building support to developing country Parties, and to assess emissions andremovals related to quantified economy-wide emission reduction targets under theSubsidiary Body for Implementation (SBI), taking into account national circumstances, in arigorous, robust and transparent manner, with a view to promoting comparability andbuilding confidence.
2.
In addition, the IAR process aims at assessing the implementation of methodologicaland reporting requirements.

II.

Process and scopeA.

Process3.

IAR will be conducted in the following steps:(a)
A technical review of biennial reports, where relevant in conjunction with theannual greenhouse gas (GHG) inventories, and national communications of developed
country Parties, which will result in an individual review report for each developed country
Party;(b)
An multilateral assessment of the implementation of developed country
Parties’ progress towards the achievement of emission reductions and removals related totheir quantified economy-wide emission reductions targets.

B.

Scope
4.
Building upon relevant elements of the existing review process under the UNFCCC,
for each developed country Party the following will be reviewed:(a)All emissions and removals related to its quantified economy-wide emission
reduction target;(b)
Assumptions, conditions and methodologies related to the attainment of its
quantified economy-wide emission reduction target;(c)
Progress towards the achievement of its quantified economy-wide emission
reduction target;(d)
Its provision of financial, technological and capacity-building support todeveloping country Parties.
5.
For each developed country Party the following elements will be multilaterally
assessed:
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66

(a)
All emissions and removals related to its quantified economy-wide emission
reduction target;(b)
Assumptions, conditions and methodologies related to the attainment of its
quantified economy-wide emission reduction target;(c)
Progress towards the achievement of its quantified economy-wide emission
reduction target.

III.

Technical review
6.
Each developed country Party’s biennial report will be reviewed, where relevant inconjunction with the annual GHG inventory and national communication review processes,
as follows:(a)
The technical review will be conducted in accordance with existing andrevised guidelines and procedures under the Convention;(b)
The technical expert review will examine the consistency of the annual GHG
inventory with the biennial report and national communication but will not include in-depth
examination of the inventory itself;(c)Party concerned can respond to the questions or suggestions of the expert
review team as well as propose and share any additional information or views;(d)
In addition to the tasks set forth in Decisions 2CP.1/, 9/CP.2, 6/CP.3 and33/CP.7 and their related annexes, the expert review teams should also review progress inemission reductions and removals related to the quantified economy-wide emission
reduction target. Additional experts may be added to the review team where necessary.
7.
The output of the technical review will be a technical review report building on
existing reporting standards and including an examination of the Party’s progress inachieving its economy-wide emission reduction target.

IV.

Multilateral assessment
8.
The multilateral assessment will be carried out for each developed country Party on
the basis of:(a)
The technical review report(s) referred to in paragraph 7 above and any otherrelevant review reports of the annual GHG inventory and national communication;(b)
The biennial report, the national GHG inventory, including the national
inventory report and national communication; and(c)Supplementary information on the achievement of the Party’s quantified
economy-wide emission reduction target, including on the role of land use, land-use change
and forestry, and carbon credits from market-based mechanisms.
9.

Each developed country Party will be assessed during a SBI session.

10.

The multilateral assessment should entail the following:(a)
Any Party may submit through the Secretariat written questions
electronically to the Party concerned in advance of the international assessment;(b)
The Party under assessment should endeavour to respond to those questions,through the secretariat, within two months. The secretariat will compile the questions andanswers and publish them on the UNFCCC website;
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(c)
During the SBI session, developed country Parties will undergo theassessment with the participation of all Parties. The Party under review may make a brieforal presentation, which will be followed by oral questions by Parties and responses by the
Party under review;
11.
The outputs of the international assessment, for each Party will include thefollowing: a record prepared by the secretariat which includes in-depth review reports, thesummary report of the SBI, questions submitted by Parties and responses provided, and anyother observations by the Party under review that are submitted within two months of theworking group session.
12.
The SBI will forward conclusions based on the record referred to in paragraph 11 to
relevant bodies under the Convention as appropriate.

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39

Annex H.

Annex III

非附属書 I 国の隔年更新報告書のガイドライン

UNFCCC biennial update reporting guidelines for Parties
not included in Annex I to the Convention
I.

Objectives
1.
The objectives of the guidelines for the preparation of the biennial update reports
from non-Annex I Parties are:(a)
To assist non-Annex I Parties in meeting their reporting requirements under
Article 4, paragraph 1(a) and 12, of the Convention and decision 1/CP.16;(b)
To encourage the presentation of information in a consistent, transparent,
complete, accurate and timely manner, taking into account specific national and domestic
circumstances;(c)
To enable enhanced reporting by non-Annex I Parties on mitigation actions
and their effects, needs and support received, in accordance with their national
circumstances, capacities and respective capabilities, and the availability of support;(d)
To provide policy guidance to an operating entity of the financial mechanism
for the timely provision of financial support needed by developing country Parties in order
to meet the agreed full costs of preparing their biennial update reports;(e)
To facilitate the presentation of information on finance, technology andcapacity-building support needed and received, including for the preparation of biennial
update reports.
2.
To facilitate the reporting by non-Annex I Parties, to the extent possible, on any
economic and social consequences of response measures.

II.

Scope
3.
The scope of biennial update reports is to provide an update to the most recently
submitted national communication in the following areas:(a)Information on national circumstances and institutional arrangements
relevant to the preparation of the national communications on a continuous basis;(b)
The national inventory of anthropogenic emissions by sources and removal
by sinks of all greenhouse gases (GHGs) not controlled by the Montreal Protocol, including
a national inventory report;(c)
Information on mitigation actions and their effects, including associatedmethodologies and assumptions;(d)Constraints and gaps, and related financial, technical and capacity needs,
including a description of support needed and received;(e)Information on the level of support received to enable the preparation andsubmission of biennial update reports;(f)

Information on domestic measurement reporting and verification;

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69

(g)
Any other information that the non-Annex I Party considers relevant to theachievement of the objective of the Convention and suitable for inclusion in its biennial
update report.

III.

National greenhouse gas inventory4.
Non-Annex I Parties should submit updates of national greenhouse gas inventories
according to paragraphs 8 - 24 in the guidelines for the preparation of national
communication from non-Annex I Parties as contained in the annex to decision 17/CP.8.
The scope of updates on national greenhouse gas inventories should be consistent withcapacities, time constraints, data availabilities and the level of support provided bydeveloped countries Parties for biennial update reporting.
5.
Non-Annex I Parties should use the methodologies established by latest guidelines
on the preparation for national communications of Parties not included in Annex I to theConvention approved by the COP or those determined by any future decision of the COP
on this matter.
6.
The updates of sections on national inventories of anthropogenic emissions bysources and removals by sinks of all GHGs not controlled by the Montreal Protocol should
contain updated data on activity levels based on the best information available using the
Revised 1996 IPCC Guidelines for National Greenhouse Gas Inventories, 2000 Good
Practice Guidance for Land Use, Land-Use Change and Forestry, 2003 Good PracticeGuidance for Land Use, Land-use Change and Forestry; any change on the emission factor
may be made in the subsequent full national communication.
7.
Non-Annex I Parties are encouraged to include, as appropriate and to the extent
capacities permit, in the inventory section of the biennial update report tables included in
Annex 3A.2 to the Good Practice Guidance for Land Use, Land-use Change and Forestry
and Sectoral Report Tables annexed to Revised 1996 IPCC Guidelines for National
Greenhouse Gas Inventories.
8.
Each non-Annex I Party is encouraged to provide a consistent time series back toreported years in the previous national communications.
9.
Non-Annex I Parties which have previously reported on their national greenhousegas inventories contained in their national communications are encouraged to submit
summary information tables of inventories for previous submission years (e.g. for years
1994 and 2000).
10.
The inventory section of the biennial update report should consist of a national
inventory report (NIR) as a summary or as an update of the information contained in
section III (National Greenhouse Inventories) of decision 17/CP.8 including table 1 on
“National greenhouse gas inventory of anthropogenic emissions by sources and removals
by sinks of all greenhouse gases not controlled by the Montreal Protocol and greenhousegas precursors” and table 2 on “National greenhouse gas inventory of anthropogenic
emissions of HFCs, PFCs and SF6”.
11.
Additional or supporting information, including sector-specific information, may besupplied through a technical annex.

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41

IV.

Mitigation actions
12.
Non-Annex I Parties should provide information, in a tabular format, on actions to
mitigate climate change, by addressing anthropogenic emissions by sources and removals
by sinks of all GHGs not controlled by the Montreal Protocol.
13.
For each mitigation action or groups of mitigation actions including, as appropriate,
those listed in document FCCC/AWGLCA/2011/INF.1, developing country Parties shallprovide the following information to the extent possible:(a)Name and description of the mitigation action, including information on thenature of the action, coverage (i.e. sectors and gases), quantitative goals and progress
indicators;(b)

Information on methodologies and assumptions;(c)Objectives of the action and steps taken or envisaged to achieve that action;(d)Information on the progress of implementation of the mitigation actions andthe underlying steps taken or envisaged, and the results achieved, such as estimatedoutcomes (metrics depending on type of action) and estimated emissions reductions, to theextent possible;(e)

Information on international market mechanisms.

14.
Parties should provide information on the description of domestic measurement,
reporting and verification arrangements.

V.

Finance, technology and capacity-building needs and support
received
15.
Non-Annex I Parties should provide updated information on constraints and gaps,
and related financial, technical and capacity-building needs.
16.
Non-Annex I Parties should also provide updated information on financial
resources, technology transfer, capacity-building and technical support received from the
Global Environment Facility (GEF), Annex II Parties and other developed country Parties,
the Green Climate Fund and multilaterals institutions for activities relating to climatechange, including for the preparation of the current biennial update report.
17.
With regard to the development and transfer of technology, non-Annex I Parties
should provide information on technology needs, which must be nationally determined, andtechnology support received.

VI.

Submission
18.
The information provided in accordance with these guidelines should becommunicated by each non-Annex I Party to the COP, through the secretariat, in a single
document, in electronic format.
19.
Non-Annex I Parties should submit their biennial update reports in English or any
one of the official United Nations languages.
20.
Additional or supporting information may be supplied through other documents,
such as a technical annex.

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71

VII.

Updating the guidelines
21.
These guidelines should be reviewed and revised, as appropriate, in accordance withdecisions of the Conference of the Parties.

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Annex I.
Annex
IV ICA の modalities and guidelines

Modalities and guidelines for international consultation andanalysis
I.

Objectives
1.
The international consultations and analysis of biennial update reports under theSubsidiary Body for Implementation, will be conducted in a manner that is non-intrusive,
non-punitive and respectful of national sovereignty; the international consultations andanalysis will aim to increase transparency of mitigation actions and their effects, throughanalysis by technical experts in consultation with the Party concerned and through afacilitative sharing of views, and will result in a summary report.
2.
Discussion on the appropriateness of such domestic policies and measures is not partof the process.

II.

Scope and process3.
The international consultation and analysis (ICA) process will consist of thefollowing two steps:(a)
The technical analysis of the biennial update reports submitted by Parties notincluded in Annex I to the Convention (non-Annex I Parties) either, as a summary of partsof their national communication in the year when the national communication is presented
or as a stand-alone update report, by a team of technical experts in consultation with theParty and will result in a summary report. The information considered should include thenational greenhouse gas inventory report, information on mitigation actions, including adescription of such actions, an analysis of their impacts and the associated methodologies
and assumptions, the progress made in their implementation and information on domestic
measurement, reporting and verification, and support received.
(b)
Facilitative sharing of views, which will have as input the biennial update
report and summary report referred to in paragraph 3(a) above.
4.
The information referred to in paragraph 3(a) above shall be the input for thetechnical analysis by a team of technical experts. Additional technical information may beprovided by the Party concerned. Prior to finalizing the report, the draft summary report
prepared by the team of technical experts will be shared with the Party concerned forreview and comment over the following three months, in order to respond to andincorporate Party comments in the report. The summary report, incorporating commentsfrom the Party, shall be finalized in consultation with the Party concerned and to bepresented to the Subsidiary Body on Implementation (SBI).
5.
The summary report referred to in paragraph 4 above will be noted by the SBI in its
conclusions and shall be made publicly available on the UNFCCC website.
6.
The SBI shall, at regular intervals, convene a workshop for the facilitative exchangeof views, open to all Parties, for all Parties for which there is a biennial update report andfinal summary report. Parties will be allowed to submit written questions in advance.
7.
The facilitative exchange of views among Parties will consist of a one- to three-hoursession for each Party or group of Parties. Parties may request to go individually or in a

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group of up to five Parties. The session will consist of a brief presentation by the Party or
Parties concerned on their biennial update report, followed by oral questions and answers
among Parties.
8.
The outcome of the international consultation and analysis will be a summary reportand a record of the facilitative sharing of views.

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