UNITED
NATIONSDistr.
GENERAL
FCCC/CP/2001/13/Add.1
21 January 2002
Original: ENGLISH

CONFERENCE OF THE PARTIESREPORT OF THE CONFERENCE OF THE PARTIES ON
ITS SEVENTH SESSION, HELD AT MARRAKESHFROM 29 OCTOBER TO 10 NOVEMBER 2001
Addendum
PART TWO: ACTION TAKEN BY THE CONFERENCE OF THE PARTIES
Volume I
CONTENTS
Page
I.

THE MARRAKESH MINISTERIAL DECLARATION

Decision
1/CP.7.
II.

The Marrakesh Ministerial Declaration ............................

3

THE MARRAKESH ACCORDS

Decision
2/CP.7.

3/CP.7.

4/CP.7.

Capacity building in developing countries(non-Annex I Parties)........................................................

5

Capacity building in countries with economies
in transition .......................................................................

15

Development and transfer of technologies(decisions 4/CP.4 and 9/CP.5) ..........................................

22

GE.02-60222

FCCC/CP/2001/13/Add.1
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5/CP.7.

Implementation of Article 4, paragraphs 8 and 9,of the Convention (decision 3/CP.3 and Article 2,paragraph 3, and Article 3, paragraph 14, of the
Kyoto Protocol).................................................................

32

Additional guidance to an operating entity of thefinancial mechanism..........................................................

40

7/CP.7.

Funding under the Convention..........................................

43

8/CP.7.

Activities implemented jointly under the pilot phase(decisions 6/CP.4 and 13/CP.5) ........................................

46

Matters relating to Article 3, paragraph 14, of the
Kyoto Protocol ..................................................................

48

10/CP.7.

Funding under the Kyoto Protocol ....................................

52

11/CP.7

Land use, land-use change and forestry ............................

54

12/CP.7

Forest management activities under Article 3,
paragraph 4, of the Kyoto Protocol:
the Russian Federation ......................................................

64“Good practices” in policies and measures among Parties
included in Annex I to the Convention .............................

65

Impact of single projects on emissions in thecommitment period ...........................................................

68

6/CP.7.

9/CP.7.

13/CP.7

14/CP.7.

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I. THE MARRAKESH MINISTERIAL DECLARATION
Decision 1/CP. 7
The Marrakesh Ministerial Declaration
The Ministers and other heads of delegation present at the seventh session of theConference of the Parties to the United Nations Framework Convention on Climate
Change,Mindful of the objective of the Convention, as set out in its Article 2,
Reaffirming that economic and social development and poverty eradication are the firstand overriding priorities of the developing country Parties,
Believing that addressing the many challenges of climate change will make a contribution
to achieving sustainable development,
Recognizing that the World Summit on Sustainable Development provides an important
opportunity for addressing the linkages between climate change and sustainable development,
1.
Note the decisions adopted by the seventh session of the Conference of the Parties
in Marrakesh, constituting the Marrakesh Accords, that pave the way for the timely entry into
force of the Kyoto Protocol;
2.
Remain deeply concerned that all countries, particularly developing countries,
including the least developed countries and small island States, face increased risk of negative
impacts of climate change;
3.
Recognize that, in this context, the problems of poverty, land degradation, accessto water and food and human health remain at the centre of global attention; therefore, thesynergies between the United Nations Framework Convention on Climate Change, theConvention on Biological Diversity, and the United Nations Convention to Combat
Desertification in those Countries Experiencing Serious Drought and/or Desertification,
Particularly in Africa, should continue to be explored through various channels, in order toachieve sustainable development;
4.
Stress the importance of capacity-building, as well as of developing anddisseminating innovative technologies in respect of key sectors of development, particularly
energy, and of investment in this regard, including through private sector involvement, marketoriented approaches, as well as supportive public policies and international cooperation;
5.
Emphasize that climate change and its adverse impacts have to be addressed
through cooperation at all levels, and welcome the efforts of all Parties to implement theConvention;

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6.
Request the President of the Conference of the Parties at its seventh session andthe Executive Secretary of the United Nations Framework Convention on Climate Change tocontinue to participate actively in the preparatory process for the World Summit, and in theSummit itself, and to report thereon to the Conference of the Parties at its eighth session.

8th plenary meeting
10 November 2001

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II. THE MARRAKESH ACCORDS
Decision 2/CP.7
Capacity building in developing countries (non-Annex I Parties)
The Conference of the Parties,
Being guided by Articles 4.1, 4.3, 4.4, 4.5 and 4.7, in the context of Article 3, andArticles 5 and 6 of the Convention,
Recalling the provisions related to capacity building for developing countries containedin its decisions 11/CP.1, 10/CP.2, 11/CP.2, 9/CP.3, 2/CP.4, 4/CP.4, 5/CP.4, 6/CP.4, 7/CP.4,
12/CP.4 and 14/CP.4,
Noting Article 10, paragraphs (c), (d) and (e), and Article 11 of the Kyoto Protocol,
Recalling also the paragraphs on capacity building of Agenda 21 and the Programme for
the Further Implementation of Agenda 21,
Reaffirming its decision 10/CP.5,
Reaffirming also that capacity building for developing countries is essential to enable
them to participate fully in, and to implement effectively their commitments under, theConvention,
Recalling further its decision 5/CP.6, containing the Bonn Agreements on theimplementation of the Buenos Aires Plan of Action,
1.
Adopts the framework for capacity building in developing countries annexed tothis decision;2.
Decides that this framework should guide capacity-building activities related tothe implementation of the Convention and effective participation in the Kyoto Protocol process;3.
Decides to give immediate effect to this framework in order to assist developing
countries to implement the Convention and to effectively participate in the Kyoto Protocol
process;
4.
Notes that areas for capacity building identified under the Convention are relevantto the preparation of developing country Parties for their effective participation in the
Kyoto Protocol process;
5.
Requests the Global Environment Facility, as an operating entity of the financial
mechanism, to report on its progress in support of the implementation of this framework in its
reports to the Conference of the Parties;

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6.
Urges the operating entity of the financial mechanism to adopt a streamlined andexpedited approach in financing activities within this framework;
7.
Invites bilateral and multilateral agencies, and other intergovernmentalorganizations and institutions, to inform the Conference of the Parties, through the secretariat, of
capacity-building activities conducted to assist developing country Parties with theirimplementation of the framework;
8.
Encourages bilateral and multilateral agencies, and other intergovernmentalorganizations and institutions, to consult with developing countries in formulating programmes
and action plans to support capacity-building activities in accordance with the annexed
framework;
9.
Requests the secretariat, in accordance with this framework for capacity building,and consistent with Article 8 of the Convention, to undertake the following tasks:(a)
To cooperate with the operating entity of the financial mechanism, its
implementing agencies and other entities for capacity building, to facilitate the implementation ofthis framework;(b)
To collect, process, compile and disseminate, in both printed and electronic
formats, the information needed by the Conference of the Parties or its subsidiary bodies toreview the progress in the implementation of this framework for capacity building, drawing inparticular on information contained in:(i)National communications of developing country Parties relating tocapacity-building activities;(ii)

National communications of Parties included in Annex II to theConvention on activities and programmes undertaken to facilitate capacity
building in developing countries related to the implementation of thisframework;(iii)

Reports from the Global Environment Facility and other agencies;(c)
To provide reports to the Conference of the Parties at each of its sessions on
activities to implement this framework;
10.
Decides that the Subsidiary Body for Implementation will regularly monitor the
progress of the implementation of this framework, taking into account the information provided
under paragraphs 9(b) and 9(c) above, and reporting to the Conference of the Parties at each of its
sessions;
11.
Decides to conduct a comprehensive review of the implementation of thisframework at the ninth session of the Conference of the Parties, and every five years thereafter;
12.
Invites Parties to provide information through national communications and otherreports to enable the Subsidiary Body for Implementation to monitor progress in theimplementation of this framework;

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13.
Recommends that the Conference of the Parties serving as the meeting of theParties to the Kyoto Protocol, at its first session, adopt a decision containing a framework on
capacity building that reaffirms the framework annexed to the present decision with additionalreference to priority areas for capacity building relating to the implementation of the
Kyoto Protocol.

8th plenary meeting
10 November 2001

FCCC/CP/2001/13/Add.1
EnglishPage 8ANNEX
Framework for capacity building in developing countries
A. Purposes
1.
The present framework for capacity building in developing countries sets out the scopeof, and provides the basis for action on, capacity building related to the implementation of theConvention and preparation for the effective participation of developing countries in the
Kyoto Protocol process that will, in a coordinated manner, assist them in promoting sustainable
development while meeting the objective of the Convention. It should serve as a guide for the
Global Environment Facility as an operating entity of the financial mechanism, and beconsidered by multilateral and bilateral organizations in their capacity-building activities related
to the implementation of the Convention and preparation for their effective participation in the
Kyoto Protocol process.
B. Guiding principles and approaches
2.
This framework for capacity-building in developing countries is guided and informed by,inter alia, Articles 4.1, 4.3, 4.4, 4.5 and 4.7, in the context of Article 3, and Articles 5, 6 and 11.1of the Convention, and relevant provisions contained in decisions 11/CP.1, 10/CP.2, 11/CP.2,
9/CP.3, 2/CP.4, 4/CP.4, 5/CP.4, 6/CP.4, 7/CP.4, 12/CP.4, 14/CP.4, and 10/CP.5,1 and takes into
account Article 10, paragraphs (c), (d), and (e), and Article 11 of the Kyoto Protocol.
3.
Capacity-building activities related to the implementation of the Convention by
developing countries and to the preparation for their effective participation in the Kyoto Protocol
process should build on work already undertaken by developing countries, as well as on the work
undertaken with support from multilateral and bilateral organizations.
4.
The capacity-building needs already identified in the various decisions of the Conferenceof the Parties should continue to be comprehensively and promptly addressed to promotesustainable development in developing countries through the effective implementation of theConvention and preparation for their effective participation in the Kyoto Protocol process.
5.
There is no “one size fits all” formula for capacity building. Capacity building must be
country-driven, addressing the specific needs and conditions of developing countries andreflecting their national sustainable development strategies, priorities and initiatives. It is
primarily to be undertaken by and in developing countries in accordance with the provisions of
the Convention.
6.
Capacity building is a continuous, progressive and iterative process, the implementationof which should be based on the priorities of developing countries.

1

For the full texts of decisions adopted by the Conference of the Parties at its first, second, third, fourth and fifthsessions, see documents FCCC/CP/1995/7/Add.1, FCCC/CP/1996/15/Add.1, FCCC/CP/1997/7/Add.1,
FCCC/CP/1998/16/Add.1 and FCCC/CP/1999/6/Add.1, respectively.

FCCC/CP/2001/13/Add.1
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Capacity-building activities should be undertaken in an effective, efficient, integrated andprogrammatic manner, taking into consideration the specific national circumstances ofdeveloping countries.
8.
Capacity-building activities undertaken within this framework should maximize synergies
between the Convention and other global environmental agreements, as appropriate.
9.
Capacity building is crucial to developing countries, especially those that are particularly
vulnerable to the adverse effects of climate change. The special circumstances of least developed
countries and small island developing States need to be taken into account in the implementationof this framework. They include:(a)

Fragile ecosystems;(b)High population pressure and isolated geographic locations;(c)investment;(d)Weak economies, low incomes, high levels of poverty and a lack of foreign
Land degradation, desertification;(e)
Undeveloped services, inter alia, meteorologic and hydrological services andwater resources management;(f)Lack of early warning systems for natural disaster management;(g)

Inadequate food security.

10.
Capacity building involves “learning by doing”. Demonstration projects may be used in
identifying and learning about the specific capacities that need to be further developed indeveloping countries.
11.
Existing national institutions have an important role to play in supporting capacitybuilding activities in developing countries. Such centres can incorporate traditional skills,
knowledge and practices, to provide appropriate services in developing countries and facilitate
information sharing. Whenever possible and effective, therefore, capacity building should
mobilize these existing national, subregional and regional institutions and the private sector indeveloping countries, and build on existing processes and endogenous capacities.
12.
National coordinating mechanisms and focal points and national coordinating entities
have an important role to play in ensuring coordination at the country and regional levels andmay serve as the focal point for coordinating capacity-building activities.
13.
Multilateral and bilateral bodies are encouraged to take account of this framework in theirconsultations with developing countries when supporting capacity-building activities related tothe implementation of the Convention and the preparation for the effective participation by
developing countries in the Kyoto Protocol process.

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C. Objective and scope of capacity building
Objective
14.
Capacity building should assist developing countries to build, develop, strengthen,enhance, and improve their capabilities to achieve the objective of the Convention through theimplementation of the provisions of the Convention and the preparation for their effective
participation in the Kyoto Protocol process.
Scope
15.
The following is the initial scope of needs and areas for capacity building in developing
countries as broadly identified in the annex to decision 10/CP.5, in the compilation and synthesis
document prepared by the secretariat,2 and in submissions by Parties:3(a)Institutional capacity building, including the strengthening or establishment, as
appropriate, of national climate change secretariats or national focal points;(b)Enhancement and/or creation of an enabling environment;(c)National communications;(d)National climate change programmes;(e)Greenhouse gas inventories, emission database management, and systems forcollecting, managing and utilizing activity data and emission factors;(f)

Vulnerability and adaptation assessment;(g)Capacity building for implementation of adaptation measures;(h)Assessment for implementation of mitigation options;(i)
Research and systematic observation, including meteorological, hydrological andclimatological services;(j)

Development and transfer of technology;(k)Improved decision-making, including assistance for participation in international
negotiations;(l)(m)
Convention;(n)Clean development mechanism;
Needs arising out of the implementation of Article 4, paragraphs 8 and 9, of the
Education, training and public awareness;

2

FCCC/SB/2000/INF.1.

3

FCCC/SB/2000/INF.5.

FCCC/CP/2001/13/Add.1
EnglishPage 11(o)Information and networking, including the establishment of databases.

16.
Other capacity-building needs and possible responses are being identified by the Parties
in their discussions of other issues. The decisions resulting from these discussions, as well asother activities related to the implementation of the Convention and preparation for the effective
participation by developing countries in the Kyoto Protocol process, should continue to informthe scope and implementation of this framework.
Specific scope for capacity building in least developed countries
17.
The least developed countries, and small island developing States amongst them, areamong the most vulnerable to extreme weather events and the adverse effects of climate change.
They also have the least capacity to cope with and adapt to the adverse effects of climate change.
The following is the initial assessment of needs and priority areas for capacity building in thesecountries:(a)Strengthening existing and, where needed, establishing national climate change
secretariats or focal points to enable the effective implementation of the Convention andeffective participation in the Kyoto Protocol process, including preparation of national
communications;(b)
Developing an integrated implementation programme which takes into accountthe role of research and training in capacity building;(c)
Developing and enhancing technical capacities and skills to carry out andeffectively integrate vulnerability and adaptation assessments into sustainable development
programmes and develop national adaptation programmes of action;(d)Strengthening existing and, where needed, establishing national research andtraining institutions in order to ensure the sustainability of the capacity-building programmes;(e)Strengthening the capacity of meteorological and hydrological services to collect,analyse, interpret and disseminate weather and climate information to support implementation ofnational adaptation programmes of action;(f)Enhancing public awareness (level of understanding and human capacity
development).
D. Implementation
Actions to enhance the implementation of this framework, taking into account the initial scope
outlined in paragraphs 15 to 17 above
18.
All Parties should improve the coordination and effectiveness of capacity-building efforts
through dialogue between and among Annex II Parties, developing country Parties, and bilateraland multilateral institutions. All Parties should support the operation of this framework andpromote conditions conducive to the sustainability and effectiveness of capacity-building
activities.

FCCC/CP/2001/13/Add.1
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In implementing this framework, developing country Parties should:(a)Continue to identify their specific needs, options and priorities for capacity
building on a country-driven basis, taking into account existing capacities and past and current
activities;(b)
Promote South-South cooperation by utilizing the services of institutions indeveloping countries that can support capacity-building activities at the national, subregional andregional levels, wherever possible and effective;(c)Promote the participation of a wide range of stakeholders, including governments
at all levels, national and international organizations, civil society and the private sector, as
appropriate;(d)Promote the coordination and sustainability of activities undertaken within thisframework, including the efforts of national coordinating mechanisms, focal points, and national
coordinating entities;(e)
Facilitate the dissemination and sharing of information on capacity-building
activities conducted by developing countries for better coordination and South-South
cooperation.
20.

In implementing this framework, Annex II Parties should:(a)Provide additional financial and technical resources to assist developing countries,
in particular the least developed countries and small island developing States among them, in theimplementation of this framework, including promptly available financial and technical resources
to enable them to undertake country-level needs assessments and to develop specific capacitybuilding activities consistent with this framework;(b)
Respond to the capacity-building needs and priorities of developing countries, inparticular the least developed countries and small island developing States among them, in acoordinated and timely manner, and support activities implemented at the national and, as
appropriate, subregional and regional levels;(c)
Give particular attention to the needs of least developed countries and small island
developing States among them.
Financing and operation
21.
Financial and technical resources should be made available, through an operating entityof the financial mechanism and, as appropriate, through multilateral and bilateral agencies andthe private sector, to assist developing countries, in particular the least developed countries andsmall island developing States among them, in the implementation of this framework.
22.
In response to this framework, the operating entity of the financial mechanism shouldelaborate a country-driven strategy for its capacity-building activities.

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23.
Multilateral and bilateral agencies are encouraged to take constructive action to support
capacity-building activities in this framework through streamlined and coordinated approaches
and in a timely manner.
24.
Financial and other assistance is to be made available to developing countries, inparticular to the least developed countries and small island developing States among them, toenable them to continue to determine, assess and prioritize their needs for capacity building in a
simple, timely manner and to assist them in strengthening existing institutions and, when needed,
to establish the institutional arrangements to implement effective capacity-building activities.
25.
The capacity-building activities undertaken within this framework are to be countrydriven and implemented primarily at the country level.
26.
In order to facilitate the exchange of information and cooperation, developing countries,
in collaboration with relevant institutions, should identify regional, subregional and sectoral
activities that can effectively and efficiently address common capacity-building needs.
27.
The results of activities conducted by the Global Environment Facility as a multilateralfinancial institution, including the Capacity Development Initiative, as well as activities
undertaken by multilateral, bilateral and private sector entities, may be considered in further
developing capacity-building activities within this framework at the regional and subregional
levels.
Time frame
28.
This framework for capacity building should be implemented promptly, taking into
account the immediate, medium- and long-term priority needs identified by developing countries.
29.
Developing countries which have already identified their capacity-building priorities
through ongoing work aimed at the implementation of the Convention should be able to promptly
implement capacity-building activities under this framework.
30.
The immediate priority needs of developing countries, in particular the least developed
countries and small island developing States among them, should be addressed urgently in theimplementation of this framework.
Review of progress
31.
The Conference of the Parties, through the Subsidiary Body for Implementation, shallregularly monitor and review the progress in the implementation of this framework.
32.
The Global Environment Facility, as an operating entity of the financial mechanism, isrequested to report on its progress in support of the implementation of this framework in its
reports to the Conference of the Parties.

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Role of the secretariat
33.
In accordance with this framework for capacity building, the secretariat is requested,consistent with Article 8 of the Convention, to undertake the following tasks:(a)
To cooperate with the operating entity of the financial mechanism, its
implementing agencies and other entities for capacity building to facilitate the implementation ofthis framework;(b)
To collect, process, compile and disseminate the information needed by the
Conference of the Parties or its subsidiary bodies to review the progress made in theimplementation of this framework for capacity building.

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Decision 3/CP.7
Capacity building in countries with economies in transition
The Conference of the Parties,
Recalling its decision 11/CP.5,
Recalling Articles 4.1, 4.2, 4.5 and 4.6, 5, 6 and 12 of the Convention,
Noting Articles 2, 3, 5, 6, 7, 10 and 17 of the Kyoto Protocol,
Further recalling its decisions 9/CP.2, 6/CP.4 and 7/CP.4,
Having considered the relevant recommendations of the Subsidiary Body for Scientificand Technological Advice and the Subsidiary Body for Implementation,1Recalling further its decision 5/CP.6, containing the Bonn Agreements on theimplementation of the Buenos Aires Plan of Action,
1.
Adopts the framework for capacity-building activities in countries with economies
in transition contained in the annex below;
2.
Decides to give immediate effect to this framework, in order to assist Parties witheconomies in transition to implement the Convention;3.
Notes that many areas for capacity building identified under the Convention are
also relevant to the preparation of Parties with economies in transition for participation in the
Kyoto Protocol when it enters into force;4.
Decides to review the effectiveness of the implementation of the framework at
regular intervals;
5.
Invites Parties included in Annex II to the Convention (Annex II Parties) andParties with economies in transition to provide information to enable the Conference of theParties and the subsidiary bodies to monitor progress in the implementation of this framework,
consistent with guidelines for the preparation of national communications;
6.
Urges Annex II Parties, through multilateral agencies, including through the
Global Environment Facility within its mandate, and bilateral agencies and the private sector, as
appropriate, to make available financial and technical support for the implementation of thisframework for capacity building, including assistance for the development of national actionplans of Parties with economies in transition consistent with their priorities;
7.
Further urges multilateral and bilateral agencies to coordinate their activities insupport of the implementation of this framework for capacity building;

1

FCCC/SBSTA/2000/10 and FCCC/SBI/2000/10.

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8.
Recommends that the Conference of the Parties serving as the meeting of theParties to the Kyoto Protocol, at its first session, adopt a decision endorsing a framework forcapacity building under the Convention that parallels the framework contained in the annex
below, with additional reference to priority areas for capacity building relating to implementationof the Kyoto Protocol;
9.

Requests the secretariat, consistent with Article 8 of the Convention:(a)
To cooperate with multilateral and bilateral institutions to facilitate theimplementation of this framework;(b)
To collect, process, compile and disseminate the information needed by the
Conference of the Parties and the subsidiary bodies to monitor progress in the implementation ofthis framework.

8th plenary meeting
10 November 2001

FCCC/CP/2001/13/Add.1
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ANNEX
Framework for capacity building in countries with economies in transition
A. Purpose
1.
The purpose of this framework for capacity building is to set out the scope and basis foraction for capacity-building activities in countries with economies in transition (EIT Parties)
under the Convention and for the preparation of EIT Parties for their participation in the
Kyoto Protocol when it enters into force.
B. Guiding principles and approaches
2.
This framework for capacity-building in EIT Parties is guided and informed by, inter alia,
Articles 4.1, 4.2, 4.5 and 4.6, 5, 6 and 12 of the Convention and relevant provisions contained indecisions 9/CP.2, 6/CP.4, 7/CP.4 and 11/CP.5,2 and takes account of Articles 2, 3, 5, 6, 7 and 17of the Kyoto Protocol.
3.
As Parties included in Annex I, EIT Parties have quantified emission limitation andreduction commitments that impose challenges to their existing capacities to implement theConvention. As Parties undergoing the process of transition to a market economy, they need toenhance their ability to address climate change issues. Capacity building is therefore critical tothe effective implementation by EIT Parties of their commitments under the Convention and the
preparation of EIT Parties for their participation in the Kyoto Protocol when it enters into force.
4.
Capacity building for EIT Parties must be country-driven, be consistent with theirnational sustainable development strategies, reflect their national initiatives and priorities,
respond to needs determined and prioritized by EIT Parties themselves, and be primarily
undertaken by and in EIT Parties in partnership with other Parties and relevant organizations, as
appropriate, in accordance with the provisions of the Convention.
5.
Capacity building should contribute to the effective implementation of the Convention by
EIT Parties and the preparation of EIT Parties for their participation in the Kyoto Protocol when
it enters into force.
6.
Capacity-building efforts are more effective when they take place within an enabling
environment conducive to the development of human, institutional and technical capacity.
7.
Capacity building should be results-oriented and implemented in an integrated andprogrammatic manner to facilitate its monitoring and evaluation, cost-effectiveness andefficiency.
8.
Capacity building is a continuous process aimed at strengthening or establishing, as
appropriate, relevant institutions, organizational structures, and human resources in order tostrengthen expertise relevant to paragraph 3 of this framework.
2

For the full texts of decisions adopted by the Conference of the Parties at its second, fourth and fifth sessions, see
FCCC/CP/1996/15/Add.1, FCCC/CP/1998/16/Add.1 and FCCC/CP/1999/6/Add.1 respectively.

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9.
Capacities should be developed and strengthened in a manner and under conditions thatwill work towards sustainability and support the short- and long-term objectives and priorities of
EIT Parties under the Convention.
10.
Capacity building involves “learning by doing”. Capacity-building activities should bedesigned and implemented in a flexible manner.
11.
Capacity building should improve the coordination and effectiveness of existing efforts
and promote the participation of, and dialogue between, a wide range of actors andconstituencies, including governments at all levels, international organizations, civil society andthe private sector.
12.
Wherever possible, capacity-building should utilize existing institutions and bodies andbuild on existing processes and endogenous capacities.
13.
National focal points and other institutions, such as research centres and universities andother relevant organizations, should play an important role in providing capacity-building
services and facilitating the flow of knowledge, best practices and information.
14.
Capacity-building should be designed so that it results in the development, strengthening
and enhancement of institutional capacities, human resources, knowledge and information,
methodologies and practices, and the participation and networking of EIT Parties to promotesustainable development, and for the purpose set out in paragraph 1 of this framework.
15.
Capacity building in support of achieving the objectives of the Convention should
maximize synergies between the Convention and other global environmental agreements, as
appropriate.
16.
Capacity building is more effective when it is coordinated at all levels (national, regional
and international) through dialogue between and among Annex I Parties, and when past andexisting efforts are taken into account.
C. Objective and scope of capacity building
Objective
17.
To build the capacity of EIT Parties to enable them to effectively implement the objectiveof the Convention and to prepare for their participation in the Kyoto Protocol when it enters into
force.
Scope
18.
To ensure that capacity-building efforts are country-driven, each EIT Party should, within
the scope of capacity building, determine its specific objectives, needs, priorities, and options to
implement the Convention and to prepare for its participation in the Kyoto Protocol when it
enters into force, consistent with its national sustainable development strategy, taking into
account existing capacities and past and current activities undertaken by the country itself, and in
partnership with bilateral and multilateral institutions and the private sector.

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19.
The needs for capacity building in EIT Parties were first identified in the compilation andsynthesis document prepared by the secretariat3 based on the submissions of EIT Parties.4 The
general areas and needs for capacity building are listed below. This scope for capacity-building
may be revised as further information is made available and as needs and priorities are further
identified.
20.
General priority areas for capacity-building identified by EIT Parties related to theimplementation of the Convention, which may also be relevant to their preparation forparticipation in the Kyoto Protocol, are to be identified in their national action plan for capacity
building, and include:(a)National greenhouse gas (GHG) inventories;(b)

Projections of GHG emissions;(c)Policies and measures, and the estimation of their effects;(d)Impact assessment and adaptation;(e)

Research and systematic observation;(f)

Education, training and public awareness;(g)Transfer of environmentally sound technologies;(h)National communications and national climate action plans;(i)National systems for estimation of GHG emissions;(j)Modalities for accounting relating to targets, timetables and national registries;(k)

Reporting obligations;(l)Joint implementation projects and emissions trading.

21.
In order to maximize available resources for capacity building and to facilitate exchange
and cooperation among EIT Parties, multilateral and bilateral agencies in consultation with EIT
Parties should assist, as appropriate, the efforts of EIT Parties themselves to identify, develop andimplement national, regional, subregional and sectoral activities that meet the capacity-building
needs of EIT Parties. The results of the current and next phase of the Capacity Development
Initiative of the Global Environment Facility (GEF) could provide valuable inputs for these
activities.

3

FCCC/SB/2000/INF.2.

4

FCCC/SB/2000/INF.7.

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D. Implementation
Responsibilities for implementation
22.
In implementing the activities undertaken within this framework for capacity-building,
EIT and Annex II Parties have the following mutual responsibilities:(a)

To improve the coordination and effectiveness of existing efforts;(b)
To provide information to enable the Conference of the Parties to monitor
progress in the implementation of this framework for capacity building.
23.
In the implementation of this framework for capacity building, EIT Parties have thefollowing responsibilities:(a)
To provide an enabling environment to promote the sustainability andeffectiveness of capacity-building activities relating to the implementation of the ultimate
objective of the Convention;(b)
To identify their specific needs, priorities and options for capacity building on acountry-driven basis, taking into account existing capacities and past and current activities;(c)

To identify and provide information on their own capacity-building activities;(d)
To promote cooperation among EIT Parties as well as to report to the Conferenceof the Parties on these activities in their national communications;(e)
To ensure the mobilization and sustainability of national capacities, including theinstitutional leadership necessary for national coordination and the effectiveness of capacitybuilding activities;(f)
To promote the participation in and access to capacity-building activities of all
stakeholders, including governments, civil society and the private sector, as appropriate.
24.
In cooperating with EIT Parties to support the implementation of this framework forcapacity building, Annex II Parties have the following responsibilities:(a)
To assist EIT Parties, including by making available financial and other resources,
to undertake country-level needs assessments to enable them to effectively implement theConvention and, as appropriate, to prepare them for participation in the Kyoto Protocol when it
enters into force;(b)
To assist EIT Parties, including through the provision of financial and otherresources, to implement options for capacity building consistent with their specific priorities andthis framework.
Financing
25.
The Annex II Parties, through multilateral agencies, including through the Global
Environment Facility within its mandate, and bilateral agencies and the private sector as

FCCC/CP/2001/13/Add.1
EnglishPage 21
appropriate, are requested to make available financial and technical support to assist EIT Parties
in the implementation of this framework for capacity building.
Time frame
26.
The implementation of activities undertaken within this framework for capacity building
should commence as soon as possible.
Monitoring of progress
27.
The Conference of the Parties, through the subsidiary bodies, shall monitor theeffectiveness of the implementation of this framework for capacity building.
28.
Information to enable the Conference of the Parties to monitor the effectiveness of theimplementation of this framework should be reported by Parties. Other institutions involved incapacity building in EIT Parties are invited to provide information for this purpose.
Role of the secretariat
29.
In accordance with this framework for capacity building, the secretariat is requested,consistent with Article 8 of the Convention, to undertake the following tasks:(a)
To cooperate with multilateral and bilateral institutions to facilitate theimplementation of this framework;(b)
To collect, process, compile and disseminate the information needed by the
Conference of the Parties or its subsidiary bodies to monitor progress in the implementation ofthis framework for capacity building.

FCCC/CP/2001/13/Add.1
EnglishPage 22
Decision 4/CP.7
Development and transfer of technologies (decisions 4/CP.4 and 9/CP.5)
The Conference of the Parties,
Recalling chapter 34 of Agenda 21 and the relevant provisions of the programme for thefurther implementation of Agenda 21 on the transfer of environmentally sound technologies
adopted by the United Nations General Assembly at its nineteenth special session,1
Pursuant to the relevant provisions of the Convention, in particular, its Articles 4.1, 4.3,
4.5, 4.7, 4.8 and 4.9, Article 9.2(c), Articles 11.1, 11.5, and Articles 12.3 and 12.4,
Recalling its decisions 11/CP.1, 13/CP.1, 7/CP.2, 9/CP.3, 4/CP.4, 9/CP.5 and the relevant
provisions of its decision 1/CP.4 on the Buenos Aires Plan of Action,
Recalling further its decision 5/CP.6, containing the Bonn Agreements on theimplementation of the Buenos Aires Plan of Action,
1.
Decides to adopt the framework for meaningful and effective actions to enhance theimplementation of Article 4, paragraph 5, of the Convention contained in the annex to thisdecision as part of the outcome of the technology transfer consultative process (decision 4/CP.4)
and the Buenos Aires Plan of Action (decision 1/CP.4);
2.
Decides to establish an expert group on technology transfer to be nominated by Parties,
with the objective of enhancing the implementation of Article 4, paragraph 5, of the Convention,
including, inter alia, by analysing and identifying ways to facilitate and advance technology
transfer activities and making recommendations to the Subsidiary Body for Scientific andTechnological Advice. The Conference of the Parties will review at its twelfth session the
progress of the work and terms of reference, including, if appropriate, the status and continuationof the expert group;
3.
Requests the Global Environment Facility, as an operating entity of the financial
mechanism of the Convention, to provide financial support for the implementation of theannexed framework through its climate change focal area and the special climate change fundestablished under decision 7/CP.7;
4.
Urges developed country Parties to provide technical and financial assistance, as
appropriate, through existing bilateral and multilateral cooperative programmes to support theefforts of the Parties in implementing the programmes and measures identified in the annexed
framework and to enhance the implementation of Article 4, paragraph 5, of the Convention;

1

A/RES/S-19/2.

FCCC/CP/2001/13/Add.1
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5.

Requests the Convention secretariat:(a)
To consult with relevant international organizations, and solicit information on
their capabilities and abilities to support certain activities identified in the framework formeaningful and effective actions contained in the annex to this decision, and to report on its
findings to the Subsidiary Body for Scientific and Technological Advice at its seventeenthsession;(b)
To facilitate the implementation of the annexed framework in cooperation with
the Parties, the Global Environment Facility and other relevant international organizations.

8th plenary meeting
10 November 2001

FCCC/CP/2001/13/Add.1
EnglishPage 24
ANNEX
Framework for meaningful and effective actions to enhance the implementationof Article 4, paragraph 5, of the Convention
A. Purpose
1.
The purpose of this framework is to develop meaningful and effective actions to enhance
the implementation of Article 4, paragraph 5, of the Convention by increasing and improving thetransfer of and access to environmentally sound technologies (ESTs) and know-how.
B. Overall approach2.
The successful development and transfer of ESTs and know-how requires a countrydriven, integrated approach, at a national and sectoral level. This should involve cooperation
among various stakeholders (the private sector, governments, the donor community, bilateral andmultilateral institutions, non-governmental organizations and academic and research
institutions), including activities on technology needs assessments, technology information,
enabling environments, capacity building and mechanisms for technology transfer.
C. Key themes and areas for meaningful and effective actions
1. Technology needs and needs assessments
Definition
3.
Technology needs and needs assessments are a set of country-driven activities that
identify and determine the mitigation and adaptation technology priorities of Parties other thandeveloped country Parties, and other developed Parties not included in Annex II, particularly
developing country Parties. They involve different stakeholders in a consultative process to
identify the barriers to technology transfer and measures to address these barriers throughsectoral analyses. These activities may address soft and hard technologies, such as mitigation
and adaptation technologies, identify regulatory options and develop fiscal and financial
incentives and capacity building.
Purpose4.
The purpose of technology needs assessments is to assist in identifying and analysing
priority technology needs, which can form the basis for a portfolio of EST projects andprogrammes which can facilitate the transfer of, and access to, the ESTs and know-how in theimplementation of Article 4, paragraph 5, of the Convention.
Implementation
5.
Parties other than developed country Parties, and other developed Parties not included in
Annex II, particularly developing country Parties, are encouraged to undertake assessments ofcountry-specific technology needs, subject to the provision of resources, as appropriate tocountry-specific circumstances, from developed country Parties and other developed Parties
included in Annex II. Other organizations in a position to do so may also assist in facilitating the

FCCC/CP/2001/13/Add.1
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technology needs assessment process. Parties are encouraged to make available information on
the results of their needs assessments in their national communications, other related national
reports and channels (for example, technology information clearing houses) for consideration by
the Subsidiary Body for Scientific and Technological Advice (SBSTA) on a regular basis.
6.
Developed country Parties and other developed Parties included in Annex II to theConvention are urged to facilitate and support the needs assessments process, recognizing thespecial circumstances of least developed countries.
7.
The Chairman of the SBSTA, with the assistance of the secretariat, in consultation withthe expert group on technology transfer, is requested to organize a meeting with representatives
from governments, experts drawn from the UNFCCC roster of experts, and representatives fromrelevant international organizations, to identify methodologies needed to undertake technology
needs assessments and to report its findings to the SBSTA at its sixteenth session.
2. Technology information
Definition
8.
The technology information component of the framework defines the means, including
hardware, software and networking, to facilitate the flow of information between the different
stakeholders to enhance the development and transfer of environmentally sound technologies.
This technology information component of the framework could provide information ontechnical parameters, economic and environmental aspects of environmentally soundtechnologies and the identified technology needs of Parties not included in Annex II, particularly
developing country Parties, as well as information on the availability of environmentally soundtechnologies from developed countries and opportunities for technology transfer.
Purpose9.
The technology information component serves to establish an efficient information
system in support of technology transfer and to improve the generation and flow of, access to,and quality of technical, economic, environmental and regulatory information relating to thedevelopment and transfer of ESTs under the Convention.
Implementation
10.

The Convention secretariat is requested:(a)To build on the success of the current work, including that undertaken by thesecretariat, in cooperation with the Climate Technology Initiative and other relevantorganizations, inter alia, to develop a new search engine on the Internet that will allow for quick
access to existing inventories of environmentally sound and economically viable technologies
and know-how, including those conducive to mitigating and adapting to climate change;(b)
To identify, in collaboration with regional centres and other institutions, gaps inexisting EST inventories, and update and develop inventories, as needed;

FCCC/CP/2001/13/Add.1
EnglishPage 26(c)
To organize an expert workshop on technology information, including options forthe establishment of an information clearing house and enhancement of information centres andnetworks, and to further define user needs, criteria for quality control, technical specifications
and the role and contribution of the Parties;(d)
To accelerate its work on the development of a technology transfer information
clearing house by coordinating with Parties and relevant United Nations agencies and otherinternational organizations and institutions, and developing options for implementation, inparticular, networking of an international technology information clearing house under theConvention, and enhancement of technology information centres and networks. A report on theoptions and recommendations should be provided to the SBSTA at its sixteenth session.
11.
An information clearing house, including a network of technology information centres,
should be established under the auspices of the secretariat, by the time of the eighth session of
the Conference of the Parties, taking into consideration the conclusions of the SBSTA, at its
sixteenth session, on the above-mentioned report.
3. Enabling environments
Definition
12.
The enabling environments component of the framework focuses on government actions,such as fair trade policies, removal of technical, legal and administrative barriers to technology
transfer, sound economic policy, regulatory frameworks and transparency, all of which create anenvironment conducive to private and public sector technology transfer.
Purpose13.
The purpose of the enabling environments component of the framework is to improve theeffectiveness of the transfer of environmentally sound technologies by identifying and analysing
ways of facilitating the transfer of environmentally sound technologies, including theidentification and removal of barriers at each stage of the process.
Implementation
14.

The following are means of creating enabling environments for technology transfer:(a)
All Parties, particularly developed country Parties, are urged to improve, as
appropriate, the enabling environment for the transfer of environmentally sound technologies
through the identification and removal of barriers, including, inter alia, strengthening
environmental regulatory frameworks, enhancing legal systems, ensuring fair trade policies,
utilizing tax preferences, protecting intellectual property rights and improving access to publicly
funded technologies and other programmes, in order to expand commercial and publictechnology transfer to developing countries;(b)
All Parties are urged to explore, as appropriate, opportunities for providing
positive incentives, such as preferential government procurement and transparent and efficientapproval procedures for technology transfer projects, which support the development anddiffusion of environmentally sound technologies;

FCCC/CP/2001/13/Add.1
EnglishPage 27(c)
All Parties are urged to promote joint research and development programmes, as
appropriate, both bilaterally and multilaterally;(d)Developed country Parties are encouraged to promote further and to implement
facilitative measures, for example export credit programmes and tax preferences, and regulations,as appropriate, to promote the transfer of environmentally sound technologies;(e)
All Parties, particularly developed country Parties, are encouraged to integrate, as
appropriate, the objective of technology transfer to developing countries into their national
policies, including environmental and research and development policies and programmes;(f)
Developed countries are encouraged to promote, as appropriate, the transfer ofpublicly owned technologies.
4. Capacity building
Definition
15.
Within the context of enhancing the implementation of Article 4, paragraph 5, of theConvention, capacity building is a process which seeks to build, develop, strengthen, enhanceand improve existing scientific and technical skills, capabilities and institutions in Parties otherthan developed country Parties, and other developed Parties not included in Annex II, particularly
developing country Parties, to enable them to assess, adapt, manage and develop environmentallysound technologies.
16.
Capacity building must be country-driven, addressing specific needs and conditions ofdeveloping countries and reflecting their national sustainable development strategies, priorities
and initiatives. It is primarily to be undertaken by and in developing countries in accordancewith the provisions of the Convention.
Purpose17.
The purpose of capacity building under this framework is to strengthen the capacities ofParties other than developed country Parties and other developed Parties not included in
Annex II, particularly developing country Parties, to promote the widespread dissemination,
application and development of environmentally sound technologies and know-how, to enable
them to implement the provisions of the Convention. Capacity building under this framework
should be guided by the principles established in the decisions related to capacity building(decisions 2/CP.7 and 3/CP.7).
Scope
18.
The following sets out the initial scope of the needs and areas for capacity building ofParties, other than developed country Parties and other developed Parties not included in
Annex II, particularly developing country Parties, for the transfer of, and access to,environmentally sound technologies and know-how:(a)Implementation of regional, subregional and/or national capacity-building
activities related to the transfer and development of technologies;

FCCC/CP/2001/13/Add.1
EnglishPage 28(b)Enhancement of the awareness of financial institutions, public, private andinternational, of the need to evaluate environmentally sound technologies on an equal footingwith other technology options;(c)Provision of opportunities for training in the use of environmentally soundtechnologies through demonstration projects;(d)Enhancement of skills in the adoption, adaptation, installation, operation andmaintenance of specific environmentally sound technologies and a broadening of understandingof methodologies for evaluating alternative technological options;(e)Strengthening of the capacities of existing national and regional institutions
relevant to technology transfer, taking into account country- and sector-specific circumstances,including South-South cooperation and collaboration;(f)Training in project development and the management and operation of climate
technologies;(g)
Development and implementation of standards and regulations promoting the use,transfer of, and access to ESTs, taking cognizance of country-specific policies, programmes andcircumstances;(h)
Development of skills and know-how in conducting technology needs
assessments;(i)
Improvement of knowledge on energy efficiency and the utilization of renewableenergy technologies.
19.
The following sets out the initial scope of the needs and areas for capacity building forthe development and enhancement of endogenous capacities and technologies in developing
countries. These shall be country-driven processes supported by developed country Parties:(a)To establish and/or strengthen, as appropriate, relevant organizations andinstitutions in developing countries;(b)
To establish and/or strengthen, to the extent possible, training, expert exchange,
scholarship and cooperative research programmes in relevant national and regional institutions indeveloping countries for the transfer, operation, maintenance, adaptation, diffusion anddevelopment of environmentally sound technologies;(c)

To build capacity for adapting to the adverse effects of climate change;(d)
To strengthen the endogenous capacities and capabilities in research,development, technological innovation, adoption and adaptation, and technology for systematic
observation relevant to climate change and its associated adverse effects;(e)To improve knowledge in the areas of energy efficiency and the utilization ofrenewable energy technologies.

FCCC/CP/2001/13/Add.1
EnglishPage 29
Implementation
20.
Developed country Parties and other Parties included in Annex II shall take all practicablesteps:(a)
To make available resources to assist developing countries in the implementationof capacity building to enhance the implementation of Article 4, paragraph 5, taking into accountthe provisions of paragraphs 18 and 19 above. These resources should include adequate financial
and technical resources to enable developing countries to undertake country-level needs
assessments and to develop specific capacity-building activities consistent with enhancing theimplementation of Article 4, paragraph 5;(b)
To respond to the capacity-building needs and priorities of developing countries
in a coordinated and timely manner, and support activities implemented at the national and, as
appropriate, subregional and regional levels;(c)
To give particular attention to the needs of least developed countries and small
island developing States.
21.
All Parties should improve the coordination and effectiveness of capacity-building
activities relating to the development and transfer of technologies. All Parties should promoteconditions conducive to the sustainability and effectiveness of these capacity-building activities.
5. Mechanisms for technology transfer
Definition
22.
The mechanisms for technology transfer, as identified in this section, are to facilitate thesupport of financial, institutional and methodological activities: (a) to enhance the coordinationof the full range of stakeholders in different countries and regions; (b) to engage them incooperative efforts to accelerate the development and diffusion, including transfer, ofenvironmentally sound technologies, know-how and practices to and between Parties other thandeveloped country Parties and other developed Parties not included in Annex II, particularly
developing country Parties, through technology cooperation and partnerships (public/public,
private/public and private/private); and (c) to facilitate the development of projects andprogrammes to support such ends.
Purpose23.
The purpose of the proposed mechanisms is to develop meaningful and effective actions
to enhance the implementation of Article 4, paragraph 5, of the Convention by increasing thetransfer of and access to environmentally sound technologies and know-how.
Implementation - Institutional arrangement for technology transfer
24.
Functions: To provide scientific and technical advice on the advancement of thedevelopment and transfer of environmentally sound technologies and know-how under theConvention, including the preparation of an action plan to enhance the implementation of
Article 4, paragraph 5, of the Convention.

FCCC/CP/2001/13/Add.1
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25.
The terms of reference of the expert group on technology transfer appear in the appendix
below.
26.

The expert group on technology transfer shall comprise 20 experts, as follows:(a)Three members from each of the regions of the Parties not included in Annex I,
namely Africa, Asia and the Pacific, and Latin America and the Caribbean;(b)

One member from the small island developing States;(c)

Seven members from Parties included in Annex I; and(d)Three members from relevant international organizations.

27.
The secretariat shall facilitate the organization of meetings of the group and the
preparation of its reports to the SBSTA at its subsequent sessions and to the Conference of theParties.
28.
The expert group on technology transfer shall meet twice a year in conjunction with thesessions of the subsidiary bodies.

FCCC/CP/2001/13/Add.1
EnglishPage 31APPENDIX
Terms of reference of the expert group on technology transfer
1.
The expert group on technology transfer shall have the objectives of enhancing theimplementation of Article 4, paragraph 5, of the Convention and advancing the technology
transfer activities under the Convention.
2.
The expert group on technology transfer shall analyse and identify ways to facilitate andadvance technology transfer activities, including those identified in the annex to decision 3/CP.7,
and make recommendations to the Subsidiary Body for Scientific and Technological Advice(SBSTA).
3.
The expert group on technology transfer shall report on its work each year and propose a
programme of work for the following year for decision by the SBSTA.
4.
The members of the expert group on technology transfer shall be nominated by Parties fora period of two years and be eligible to serve two consecutive terms. The SBSTA shall ensurethat half of the members of the expert group nominated initially shall serve for a period of three
years, taking into account the need to maintain the overall balance of the group. Every year
thereafter, half of the members shall be nominated for a period of two years. Appointment
pursuant to paragraph 5 shall count as one term. The members shall remain in office until theirsuccessors are nominated. The members from three relevant international organizations shallserve on an issue-oriented basis.
5.
If a member of the expert group on technology transfer resigns or is otherwise unable tocomplete the assigned term of office or to perform the functions of that office, the expert group
may decide, bearing in mind the proximity of the next session of the Conference of the Parties, torequest the group that had nominated the member to nominate another member to replace thesaid member for the remainder of that member’s mandate. In such a case, the expert group shalltake into account any views expressed by the group that had nominated the member.
6.
The expert group on technology transfer shall annually elect a chairperson and avice-chairperson from among its members, with one being a member from a Party included in
Annex I and the other being a member from a Party not included in Annex I. The positions ofchairperson and vice-chairperson shall alternate annually between a member from a Party
included in Annex I and a member from a Party not included in Annex I.
7.
The members of the expert group on technology transfer shall serve in their personal
capacity and shall have expertise in any of the following areas, inter alia, greenhouse gas
mitigation and adaptation technologies, technology assessments, information technology,
resource economics, or social development.

FCCC/CP/2001/13/Add.1
EnglishPage 32
Decision 5/CP.7
Implementation of Article 4, paragraphs 8 and 9, of the Convention (decision 3/CP.3
and Article 2, paragraph 3, and Article 3, paragraph 14, of the Kyoto Protocol)1
The Conference of the Parties,
Determined to protect the climate system for present and future generations,
Recalling its decisions 11/CP.1, 3/CP.3, 1/CP.4, 5/CP.4 and 12/CP.5,
Recalling further its decision 5/CP.6, containing the Bonn Agreements on theimplementation of the Buenos Aires Plan of Action,
Recognizing the specific needs and concerns of developing country Parties referred to in
Article 4, paragraph 8, of the Convention, and the specific needs and special situations of theleast developed countries referred to in Article 4, paragraph 9,
Recognizing that low-lying and other small island countries, countries with low-lying
coastal, arid and semi-arid areas or areas liable to floods, drought and desertification, anddeveloping countries with fragile mountainous ecosystems are particularly vulnerable to theadverse effects of climate change,
Recognizing the special difficulties of those countries, especially developing countries,
whose economies are particularly dependent on fossil fuel production, use and exportation, as aconsequence of action taken to limit greenhouse gas emissions,Reaffirming that Parties should protect the climate system for the benefit of present andfuture generations of humankind, on the basis of equity and in accordance with their common but
differentiated responsibilities and respective capabilities, and that, accordingly, the developed
country Parties should take the lead in combating climate change and the adverse effects thereof,
Reaffirming that the specific needs and special circumstances of developing country
Parties, especially those that are particularly vulnerable to the adverse effects of climate change,and of those Parties, especially developing country Parties, which would have to bear adisproportionate or abnormal burden under the Convention, should be given full consideration,
Affirming that responses to climate change should be coordinated with social andeconomic development in an integrated manner with a view to avoiding adverse impacts on thelatter, taking into full account the legitimate priority needs of developing countries for theachievement of sustained economic growth and the eradication of poverty,

1Paragraphs 13, 17, and 18 of the draft decision contained in document FCCC/CP/2001/5/Add.1 have been
omitted from the final text of this decision, since their content is subsumed in decisions 6/CP.7, 28/CP.7 and 29/CP.7
and by the conclusions contained in section V.D. of document FCCC/CP/2001/13/Add.4.

FCCC/CP/2001/13/Add.1
EnglishPage 33
Acknowledging the efforts already made by Parties to meet the specific needs andconcerns of developing country Parties, in particular the least developed countries, with regard toadaptation,
Acknowledging the need to sensitize policy makers and the general public in Parties notincluded in Annex I to the Convention to climate change and its effects, in accordance with
Article 6(a) of the Convention,
Having considered the report,2 in two parts, on the two workshops referred to in decision
12/CP.5,
Noting the many persistent uncertainties highlighted by those workshops, particularly
with regard to the impact of response measures,
Insisting that the extent to which developing country Parties will effectively implement
their commitments will depend on the effective implementation by the developed country Partiesof their commitments relating to financial resources and transfer of technology and will also takefully into account that economic and social development and poverty eradication are the first andoverriding priorities of the developing country Parties,
Acknowledging that the impact of the implementation of response measures will differ
significantly from country to country, depending on each country’s unique national
circumstances, including the structure of its economy, trade and investment, natural resource
endowment, social system, legal regime and population growth rate,
Recognizing that the least developed country Parties are among the most vulnerable to theadverse effects of climate change, and in particular that widespread poverty limits their adaptive
capacity,
Acknowledging that the human, infrastructural and economic conditions of the least
developed countries severely limit their capacities to participate effectively in the climate change
process,
Noting that many of the least developed country Parties do not have the capacity to
prepare and submit national communications in the foreseeable future,
I. ADVERSE EFFECTS OF CLIMATE CHANGE
1.
Asserts the importance of a country-driven approach that allows developing country
Parties to pursue the specific activities most appropriate to their unique national circumstances;
2.
Insists that action related to adaptation follow an assessment and evaluation process,based on national communications and/or other relevant information, so as to prevent
maladaptation and to ensure that adaptation actions are environmentally sound and will produce
real benefits in support of sustainable development;

2

FCCC/SB/2000/2.

FCCC/CP/2001/13/Add.1
EnglishPage 34
3.
Encourages Parties not included in Annex I to the Convention (non-Annex I Parties) toprovide information, including in their national communications, and/or any other relevant
information sources, on their specific needs and concerns arising from the adverse effects ofclimate change;
4.
Stresses the need for Parties included in Annex II to the Convention (Annex II Parties) toprovide detailed information, including in their national communications, on support
programmes to meet the specific needs and circumstances of developing country Parties arisingfrom the adverse effects of climate change;
5.
Encourages Parties to exchange information on their experience regarding the adverse
effects of climate change and on measures to meet their needs arising from these adverse effects;
6.
Underlines the importance of the ongoing work of the secretariat in compiling anddisseminating information on methods and tools for evaluating impacts and adaptation strategies;
7.
Decides that the implementation of the following activities shall be supported through the
Global Environment Facility (in accordance with decision 6/CP.7) and other bilateral andmultilateral sources:(a)

Information and methodologies:(i)

Improving data collection and information gathering, as well as theiranalysis, interpretation and dissemination to end-users;(ii)

Integrating climate change considerations into sustainable development
planning;(iii)

Providing training in specialized fields relevant to adaptation such as
climate and hydroclimate studies, geographical information systems,
environmental impact assessment, modelling, integrated coastal zone
management, soil and water conservation and soil restoration;(iv)

Strengthening existing and, where needed, establishing national andregional systematic observation and monitoring networks (sea-level rise,
climate and hydrological monitoring stations, fire hazards, landdegradation, floods, cyclones and droughts);(v)

Strengthening existing and, where needed, establishing national andregional centres and institutions for the provision of research, training,education and scientific and technical support in specialized fields relevant
to climate change, utilizing information technology as much as possible;(vi)

Strengthening existing and, where needed, establishing national andregional research programmes on climate variability and climate change,oriented towards improving knowledge of the climate system at theregional level, and creating national and regional scientific capability;

FCCC/CP/2001/13/Add.1
EnglishPage 35(vii)(b)

Supporting education and training in, and public awareness of, climatechange related issues, for example through workshops and information
dissemination;

Vulnerability and adaptation:(i)

Supporting enabling activities for vulnerability and adaptation assessment;(ii)

Enhancing technical training for integrated climate change impact andvulnerability and adaptation assessments across all relevant sectors, andenvironmental management related to climate change;(iii)

Enhancing capacity, including institutional capacity, to integrate
adaptation into sustainable development programmes;(iv)

Promoting the transfer of adaptation technologies;(v)

Establishing pilot or demonstration projects to show how adaptation
planning and assessment can be practically translated into projects thatwill provide real benefits, and may be integrated into national policy andsustainable development planning, on the basis of information provided in
the national communications from non-Annex I Parties and/or otherrelevant sources, and of the staged approach endorsed by the
Conference of the Parties in its decision 11/CP.1;(vi)

Supporting capacity building, including institutional capacity, forpreventive measures, planning, preparedness of disasters relating toclimate change, including contingency planning, in particular, for droughts
and floods in areas prone to extreme weather events;(vii)

Strengthening existing and, where needed, establishing early warning
systems for extreme weather events in an integrated and interdisciplinarymanner to assist developing country Parties, in particular those mostvulnerable to climate change;

8.
Decides that the implementation of the following activities shall be supported through thespecial climate change fund (in accordance with decision 7/CP.7) and/or the adaptation fund (inaccordance with decision 10/CP.7), and other bilateral and multilateral sources:(a)Starting to implement adaptation activities promptly where sufficient information
is available to warrant such activities, inter alia, in the areas of water resources management,
land management, agriculture, health, infrastructure development, fragile ecosystems, including
mountainous ecosystems, and integrated coastal zone management;(b)
Improving the monitoring of diseases and vectors affected by climate change, andrelated forecasting and early-warning systems, and in this context improving disease control andprevention;

FCCC/CP/2001/13/Add.1
EnglishPage 36(c)
Supporting capacity building, including institutional capacity, for preventive
measures, planning, preparedness and management of disasters relating to climate change,
including contingency planning, in particular, for droughts and floods in areas prone to extreme
weather events;(d)Strengthening existing and, where needed, establishing national and regional
centres and information networks for rapid response to extreme weather events, utilizing
information technology as much as possible;
9.
Decides to consider, at its eighth session, the implementation of insurance-related actions
to meet the specific needs and concerns of developing country Parties arising from the adverse
effects of climate change, based on the outcome of the workshops referred to in paragraphs 37
and 38 below;
10.
Requests the Subsidiary Body for Scientific and Technological Advice and the Subsidiary
Body for Implementation to review, at their subsequent sessions, the progress of the abovementioned activities and make recommendations thereon to the Conference of the Parties at its
eighth session;
II. IMPLEMENTATION OF ARTICLE 4, PARAGRAPH 9, OF THE CONVENTION
11.
Decides to establish a work programme for the implementation of Article 4, paragraph 9,of the Convention, which would include activities covered under paragraphs 15 to 19 below, as
well as the following:(a)Strengthening existing and, where needed, establishing, national climate change
secretariats and/or focal points to enable the effective implementation of the Convention and the
Kyoto Protocol, in the least developed country Parties;(b)
Providing training, on an ongoing basis, in negotiating skills and language, where
needed, to develop the capacity of negotiators from the least developed countries to participate
effectively in the climate change process;(c)Supporting the preparation of national adaptation programmes of action;

12.
Decides that a least developed countries fund shall be established (in accordance withdecision 7/CP.7), to be operated by an entity entrusted with the operation of the financial
mechanism, under the guidance of the Conference of the Parties, to support the work programme
for the least developed countries. This work programme shall include, inter alia, the preparationand implementation of national adaptation programmes of action;
13.
Invites Annex II Parties to contribute financially to the programme mentioned inparagraph 11 above;
14.
Invites Annex II Parties to support least developed country Parties for the following
activities:

FCCC/CP/2001/13/Add.1
EnglishPage 37(a)Promotion of public awareness programmes to ensure the dissemination of
information on climate change issues;(b)
Development and transfer of technology, particularly adaptation technology (inaccordance with decision 4/CP.7);(c)Strengthening of the capacity of meteorological and hydrological services tocollect, analyse, interpret and disseminate weather and climate information to support
implementation of national adaptation programmes of action;
15.
Decides that support be provided for the development, by the least developed countries,of national adaptation programmes of action which will serve as a simplified and direct channelof communication of information relating to the vulnerabilities and adaptation needs of the least
developed countries; the information contained in national adaptation programmes of action may
constitute the first step in the preparation of initial national communications;16.
Decides to consider, at its current session, the establishment of a least developed countrygroup of experts, including its terms of reference, taking into account geographical balance, as
well as the above-mentioned consideration of the terms of reference of the Consultative Group ofExperts;
17.
Decides to assess, at its current session, the status of implementation of Article 4,paragraph 9, of the Convention and to consider further action thereon;
III. IMPACT OF THE IMPLEMENTATION OF RESPONSE MEASURES
18.

Stresses that Parties should take action consistent with the provisions of the Convention;

19.
Decides that the implementation of the activities included in paragraphs 25 to 32 below
shall be supported through the Global Environment Facility (in accordance withdecision 6/CP.7), the special climate change fund (in accordance with decision 7/CP.7), andother bilateral and multilateral sources:
20.
Encourages non-Annex I Parties to provide information, in their national
communications and/or other relevant reports, on their specific needs and concerns arising fromthe impact of the implementation of response measures;
21.
Requests Annex II Parties to provide detailed information, in their national
communications and/or any other relevant reports, on their existing and planned support
programmes to meet the specific needs and concerns of developing country Parties arising fromthe impact of the implementation of response measures;
22.
Encourages Annex I and non-Annex I Parties to cooperate in creating favourable
conditions for investment in sectors where such investment can contribute to economic
diversification;

FCCC/CP/2001/13/Add.1
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23.
Requests Annex II Parties to assist developing countries, in particular those mostvulnerable to the impact of the implementation of response measures, in meeting their capacitybuilding needs for the implementation of programmes which address these impacts;
24.
Urges Parties to consider appropriate technological options in addressing the impact of
response measures, consistent with national priorities and indigenous resources;
25.
Encourages Parties to cooperate in the technological development of non-energy uses offossil fuels, and requests Annex II Parties to support developing country Parties to this end;
26.
Encourages Parties to cooperate in the development, diffusion and transfer of lessgreenhouse gas-emitting advanced fossil-fuel technologies, and/or technologies relating to fossil
fuels, that capture and store greenhouse gases, and requests Annex II Parties to facilitate theparticipation of the least developed countries and other non-Annex I Parties in this effort;
27.
Urges Annex II Parties to provide financial and technological support for strengthening
the capacity of developing country Parties identified in Article 4, paragraphs 8 and 9, of theConvention 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;
28.
Encourages Annex II Parties to promote investment in, and to support and cooperate
with, developing country Parties in the development, production, distribution and transport ofindigenous, less greenhouse gas-emitting, environmentally sound,3 energy sources, including
natural gas, according to the national circumstances of each of these Parties;
29.
Urges Annex II Parties to provide support for research into, and the development and useof, renewable energy, including solar and wind energy, in developing country Parties;
30.
Decides to consider, at its eighth session, the implementation of insurance-related actions
to meet the specific needs and concerns of developing country Parties arising from the adverse
effects of climate change, based on the outcome of the workshops referred to in paragraphs 37
and 38 below;
31.
Requests the Subsidiary Body for Scientific and Technological Advice and the Subsidiary
Body for Implementation to consider, at their subsequent sessions, the response by Parties to theactions listed in paragraphs 25 to 32 above;
IV. FURTHER MULTILATERAL WORK RELATING TO ISSUES UNDERARTICLE 4, PARAGRAPHS 8 AND 9 OF THE CONVENTION
32.
Requests the secretariat to organize regional workshops in order to facilitate informationexchange and integrated assessments, including for adaptation;

3

Throughout this decision, the term “environmentally sound” means “environmentally safe and sound” (Source:
Agenda 21, chapter 1).

FCCC/CP/2001/13/Add.1
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33.
Requests the secretariat to organize a workshop, before the eighth session of theConference of the Parties, on the status of modelling activities to assess the adverse effects ofclimate change and the impact of response measures already implemented on individual
developing country Parties, including on how to enhance the participation of developing country
experts in such efforts, and to report the results of this workshop to the Conference of the Parties
at its eighth session. The terms of reference of this workshop will include assessments on
approaches to minimize the adverse effects of response measures on developing countries;
34.
Requests the secretariat to organize a workshop, to be held immediately before theworkshop referred to in paragraph 38 below, and before the eighth session of the Conference of
the Parties, on insurance and risk assessment in the context of climate change and extreme
weather events, and to report the results of this workshop to the Conference of the Parties at its
eighth session;
35.
Requests the secretariat to organize a workshop, to be held immediately after theworkshop referred to in paragraph 37 above, and before the eighth session of the Conference of
the Parties, on insurance-related actions to address the specific needs and concerns of developing
country Parties arising from the adverse effects of climate change and from the impact of theimplementation of response measures, and to report the results of this workshop to theConference of the Parties at its eighth session;
36.
Requests the secretariat to organize a workshop, before the ninth session of theConference of the Parties, on possible synergies and joint action with the other multilateralenvironmental conventions and agreements, such as the United Nations Convention to Combat
Desertification, and to report the results of this workshop to the Conference of the Parties at its
ninth session;
37.
Requests the secretariat to organize a workshop, before the ninth session of theConference of the Parties, on the needs and options of non-Annex I Parties for economic
diversification, and on support programmes by Annex II Parties to address these needs, and toreport the results of this workshop to the Conference of the Parties at its ninth session;

8th plenary meeting
10 November 2001

FCCC/CP/2001/13/Add.1
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Decision 6/CP.7
Additional guidance to an operating entity of the financial mechanism
The Conference of the Parties,
Recalling its decisions 11/CP.1, 10/CP.2, 11/CP.2, 12/CP.2, 2/CP.4, 8/CP.5 and 10/CP.5,
Recalling further its decision 5/CP.6, containing the Bonn Agreements on theimplementation of the Buenos Aires Plan of Action,
Noting the extension of funding through the expedited procedures of the Global
Environment Facility (GEF) for countries to address capacity-building needs identified indecision 2/CP.4 enabling Parties to maintain and enhance relevant national capacities, and for the
preparation of second national communications,Noting also the launching of the GEF Country Dialogue Workshops, which have been
designed to strengthen national coordination and capacity building and to promote awarenessraising, and the results of the first phase of the GEF Capacity Development Initiative, a strategic
partnership between the GEF secretariat and the United Nations Development Programme, whichwere forwarded to Parties in accordance with decision 10/CP.5,
1.
Decides that, in accordance with Articles 4.3, 4.5 and 11.1 of the Convention, the GEF, as
an operating entity of the financial mechanism, should provide financial resources to developing
country Parties, in particular the least developed and the small island developing States among
them, for the following activities, including those identified in paragraph 7 of decision 5/CP.7:(a)Strengthening, in particularly vulnerable countries and regions identified in stage I
activities and especially countries vulnerable to climate-related natural disasters, theimplementation of country-driven stage II adaptation activities, pursuant to decision 2/CP.4,
paragraph 1 (a), that build upon work done at the national level, either in the context of national
communications or of in-depth national studies, including national adaptation programmes ofaction (NAPAs);(b)
Establishing pilot or demonstration projects to show how adaptation planning andassessment can be practically translated into projects that will provide real benefits, and may be
integrated into national policy and sustainable development planning, on the basis of information
provided in the national communications, or of in-depth national studies, including NAPAs, andof the staged approach endorsed by the Conference of the Parties in its decision 11/CP.1;(c)
Supporting the continuation of the “country-team” approach, which enhances thecollection, management, archiving, analysis, interpretation and dissemination of data on climatechange issues and increases national commitment to the implementation of the objective of theConvention;

FCCC/CP/2001/13/Add.1
EnglishPage 41(d)Enhancing the capacity of their subregional and/or regional information networks
to enable such networks to serve as repositories of climate change related information onvulnerability and adaptation assessments and geographic information systems;(e)Improving climate change related data collection (for example, local emission andregional factors) and information-gathering, as well as the analysis, interpretation anddissemination of these data to national policy makers and other end-users;(f)Strengthening and, where necessary, establishing:(i)

National, subregional or regional databases on climate change;(ii)

Subregional and/or regional climate change related institutions and“centres of excellence”, to enable these institutions and centres to provide
a supportive framework, which would include information retrieval andtechnical support;(g)
Developing and implementing, as appropriate, prioritized projects identified intheir national communications;(h)Undertaking more in-depth public awareness and education activities andcommunity involvement and participation in climate change issues;(i)
Building the capacity, including, where appropriate, institutional capacity, forpreventive measures, planning, preparedness for disasters related to climate change, including inparticular, contingency planning for droughts and floods in areas prone to extreme weather
events;(j)Strengthening existing and, where needed, establishing early warning systems for
extreme weather events in an integrated and interdisciplinary manner to assist developing country
Parties, in particular those most vulnerable to climate change;(k)Supporting the continuation of GEF-related programmes which assist Parties thatare at various stages of preparing and/or completing their initial national communications;
2.

Invites the GEF:(a)
To continue its efforts to minimize the time between the approval of project
concepts, the development and approval of the related projects, and the disbursement of funds by
its implementing/executing agencies to the recipient countries of those projects;(b)
Further to streamline its project cycle with a view to making project preparations
simpler, more transparent and country-driven. In this regard, the project cycles of its
implementing/executing agencies should be coordinated with the GEF project cycle;(c)
To urge its implementing/executing agencies to be more responsive to requests for
GEF assistance from developing country Parties for climate change related project activities
aimed at implementing the guidance of the Conference of the Parties;

FCCC/CP/2001/13/Add.1
EnglishPage 42(d)
Further to encourage the use of national and regional experts and/or consultants toenhance project development and implementation; in this regard, it should make its list ofnational and regional experts and/or consultants publicly available;(e)
To give consideration to measures to increase opportunities available todeveloping country Parties for accessing GEF funds for climate change activities aimed at
implementing the guidance of the Conference of the Parties, including a review of the adequacyof the number of implementing/executing agencies available to deliver GEF programmes andprojects;
3.
Urges the GEF to adopt a streamlined and expedited approach to financing activities
within the framework for capacity-building in developing countries (non-Annex I Parties)
contained in decision 2/CP.7;
4.
Requests the GEF to include in its report to the Conference of the Parties at its eighth
session the specific steps it has taken to implement the provisions of this decision and to include
information on its implementation of the framework for capacity-building in developing
countries (non-Annex I Parties) contained in decision 2/CP.7;
5.
Requests the GEF, as an operating entity of the financial mechanism, to provide financial
support to implement the capacity-building framework annexed to decision 2/CP.7 and further tosupport, enhance and implement its capacity-building activities in accordance with thisframework.

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FCCC/CP/2001/13/Add.1
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Decision 7/CP.7
Funding under the Convention
The Conference of the Parties,
Recalling the relevant provisions of the United Nations Framework Convention on
Climate Change, and in particular its Articles 4.1, 4.3, 4.4, 4.5, 4.7, 4.8, 4.9, 4.10 and Article 11,
Recalling also its decisions 11/CP.1 and 15/CP.1,
Recalling further its decision 5/CP.6, containing the Bonn Agreements on theimplementation of the Buenos Aires Plan of Action,
Noting that, by its decisions 2/CP.7, and 6/CP.7, provisions have been made for funding
the implementation of capacity-building activities in Parties not included in Annex I, and that
additional guidance has been given to the Global Environment Facility to that effect,
Welcoming the statements made at the second part of the sixth session by most Parties
included in Annex II1 on their willingness to commit themselves to provide funding,
Welcoming also the joint political declaration made by the European Community and its
member States, together with Canada, Iceland, New Zealand, Norway and Switzerland, on their
preparedness to contribute collectively PLOOLRQ86PLOOLRQDQQXDOO\E\ZLWK
this level to be reviewed in 2008,
1.

Decides that:(a)
There is a need for funding, including funding that is new and additional tocontributions which are allocated to the climate change focal area of the Global Environment
Facility and to multilateral and bilateral funding, for the implementation of the Convention;(b)
Predictable and adequate levels of funding shall be made available to Parties notincluded in Annex I;(c)
In order to meet the commitments under Articles 4.1, 4.3, 4.4, 4.5, 4.8 and 4.9,
Parties included in Annex II, and other Parties included in Annex I that are in a position to do so,should provide funding for developing country Parties, through the following channels:

1(i)Increased Global Environment Facility replenishment;(ii)

The special climate change fund to be established under this decision;(iii)

The least developed countries fund to be established under this decision;(iv)

Bilateral and multilateral sources;

Joint political declaration by the European Community and its member States, together with Canada, Iceland,
New Zealand, Norway and Switzerland, and a statement by Japan. For the text of the political declaration and thestatement by Japan, see document FCCC/CP/2001/MISC.4.

FCCC/CP/2001/13/Add.1
EnglishPage 44(d)
Appropriate modalities for burden sharing among the Parties included in Annex II
need to be developed;(e)Parties included in Annex II shall report on their financial contributions on anannual basis;(f)
The Conference of the Parties shall review the reports referred to in subparagraph(e) above on an annual basis;
2.
Decides also that a special climate change fund shall be established to finance activities,
programmes and measures, relating to climate change, that are complementary to those funded by
the resources allocated to the climate change focal area of Global Environment Facility and by
bilateral and multilateral funding, in the following areas:(a)Adaptation, in accordance with paragraph 8 of decision 5/CP.7;(b)Transfer of technologies, in accordance with decision 4/CP.7;(c)Energy, transport, industry, agriculture, forestry and waste management;(d)Activities to assist developing country Parties referred to under Article 4,paragraph 8(h), in diversifying their economies, in accordance with decision 5/CP.7;
3.
Decides further that Parties included in Annex II, and other Parties included in Annex Ithat are in a position to do so, shall be invited to contribute to the fund, which shall be operated
by an entity entrusted with the operation of the financial mechanism, under the guidance of theConference of the Parties;
4.
Invites the entity referred to in paragraph 3 above to make the necessary arrangements forthis purpose and report thereon to the Conference of the Parties at its eighth session for
appropriate action;
5.
Decides to provide guidance to the entity referred to in paragraph 3 above on themodalities for operating this fund, including expedited access;6.
Decides also that a least developed countries fund shall be established, which shall be
operated by an entity entrusted with the operation of the financial mechanism, under the guidanceof the Conference of the Parties, to support a work programme for the least developed countries.
This work programme shall include, inter alia, national adaptation programmes of action inaccordance with Section II, “Implementation of Article 4, paragraph 9, of the Convention”, ofdecision 5/CP.7;
7.
Invites the entity referred to in paragraph 6 above to make the necessary arrangements forthis purpose and report thereon to the Conference of the Parties at its eight session for
appropriate action;
8.
Decides to provide guidance to the entity referred to in paragraph 6 above on themodalities for operating this fund, including expedited access;FCCC/CP/2001/13/Add.1
EnglishPage 459.
Welcomes the intention expressed by Canada to contribute C$10 million, to enable theprompt start of this fund.

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FCCC/CP/2001/13/Add.1
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Decision 8/CP.7
Activities implemented jointly under the pilot phase
The Conference of the Parties,
Recalling its decisions 5/CP.1 and 13/CP.5,
Recalling further its decision 5/CP.6, containing the Bonn Agreements on theimplementation of the Buenos Aires Plan of Action,
Taking note of the fourth synthesis report on activities implemented jointly under the pilot
phase and the draft revised uniform reporting format,2
1

Having considered the conclusions of the Subsidiary Body for Scientific andTechnological Advice and the Subsidiary Body for Implementation at the first part of theirthirteenth sessions,3
Acknowledging that participating in activities implemented jointly under the pilot phaseprovides an important opportunity for learning by doing,
Further acknowledging the importance of offering opportunities to participate inactivities implemented jointly under the pilot phase to those Parties that have not yet experienced
such activities,
Noting that the geographical distribution of activities implemented jointly under the pilot
phase remains unbalanced despite recent improvements,
1.

Decides to continue the pilot phase for activities implemented jointly;

2.
Requests the secretariat to organize before the sixteenth sessions of the subsidiary bodies
a workshop on the draft revised uniform reporting format providing an opportunity to Parties toexchange views on and understand further the methodological issues related to the format;

1

FCCC/SB/2000/6.

2

FCCC/SB/2000/6/Add.1.

3

FCCC/SBSTA/2000/10 and FCCC/SBI/2000/10.

FCCC/CP/2001/13/Add.1
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3.
Urges Parties reporting on activities implemented jointly under the pilot phase to submit
joint reports through the designated national authority of one Party, which should provide proof
that the designated national authorities of all the other Parties involved concur with the reports.

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Decision 9/CP.7
Matters relating to Article 3, paragraph 14, of the Kyoto Protocol
The Conference of the Parties,
Having considered matters relating to Article 3, paragraph 14, of the Kyoto Protocol,
Recalling its decision 8/CP.4, particularly as it refers to decision 5/CP.4,
Recalling further its decision 5/CP.6, containing the Bonn Agreements on theimplementation of the Buenos Aires Plan of Action,
Recommends that the Conference of the Parties serving as the meeting of the Parties tothe Kyoto Protocol, at its first session, adopt draft decision -/CMP.1 (Matters relating to
Article 3, paragraph 14, of the Kyoto Protocol) below.

8th plenary meeting
10 November 2001

Draft decision -/CMP.1 (Matters relating to Article 3, paragraph 14,of the Kyoto Protocol)
Matters relating to Article 3, paragraph 14, of the Kyoto Protocol
The Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol,
Determined to protect the climate system for present and future generations,
Having considered matters relating to Article 3, paragraph 14, of the Kyoto Protocol,
Recalling decisions 8/CP.4 and 5/CP.4,
Recalling also decisions 5/CP.4 and 12/CP.5,
Reiterating that the extent to which developing country Parties will effectively implement
their commitments will depend on the effective implementation by the developed country Partiesof their commitments related to financial resources and transfer of technology and will take fully
into account that economic and social development and poverty eradication are the first andoverriding priorities of the developing country Parties,

FCCC/CP/2001/13/Add.1
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Reiterating that Parties should protect the climate system for the benefit of present andfuture generations of humankind, on the basis of equity and in accordance with their common but
differentiated responsibilities and respective capabilities and, accordingly, that the developed
country Parties should take the lead in combating climate change and the adverse effects thereof,
Recognizing that developing country Parties that would have to bear a disproportionate or
abnormal burden under the Convention should be given full consideration,
Recognizing that low-lying and other small island countries, countries with low-lying
coastal, arid and semi-arid areas or areas liable to floods, drought and desertification, anddeveloping countries with fragile mountainous ecosystems, are particularly vulnerable to theadverse effects of climate change,
Recognizing the special difficulties of those countries, especially developing countries,
whose economies are particularly dependent on fossil fuel production, use and exportation, as aconsequence of action taken to limit greenhouse gas emissions,
1.
Decides to establish a process for the implementation of Article 3, paragraph 14, of the
Kyoto Protocol, including exchange of information and the development of methodologies on theassessment of adverse social, environmental and economic impacts on developing country
Parties, particularly those identified in Article 4, paragraphs 8 and 9, of the Convention, and of
their minimization; among the issues to be considered shall be the establishment of funding,insurance and transfer of technology;
2.
Recognizes that minimizing the impact of the implementation of Article 3, paragraph 1,of the Kyoto Protocol is a development concern affecting both the industrialized and developing
countries. Each Party included in Annex I commits itself to take fully into account theconsequences of these actions on developing countries, and to prevent or minimize their adverse
effects on developing countries; these Parties consider such action as a cost-effectivenessmeasure;3.
Requests each Party included in Annex I to provide information, as part of the necessary
supplementary information to its annual inventory report, in accordance with the guidelines
under Article 7, paragraph 1, of the Kyoto Protocol, relating to how it is striving, under Article 3,
paragraph 14, of the Kyoto Protocol, to implement the 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; and further requests those Parties to incorporate, in thisrespect, information on action identified in paragraph 8 below, based on methodologies identified
at the workshop referred to in paragraph 11 below;
4.
Decides that the information referred to in paragraph 3 above shall be considered by thefacilitative branch of the compliance committee;
5.
Invites Parties not included in Annex I to provide information on their specific needs andconcerns related to the adverse social, environmental and economic impacts arising from theimplementation of commitments under Article 3, paragraph 1, of the Kyoto Protocol, andrequests Parties included in Annex II to the Convention to provide support for that purpose;

FCCC/CP/2001/13/Add.1
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6.
Decides to develop guidelines before the second session of the Conference of the Parties
serving as the meeting of the Parties to the Kyoto Protocol to help determine if Parties includedin Annex I are striving to minimize adverse effects, including the adverse effects of climatechange, effects on international trade, and social, environmental and economic impacts on otherParties, especially developing country Parties, and in particular those identified in Article 4,paragraphs 8 and 9, of the Convention, based on methodologies identified at the workshop
referred to in paragraph 11 below;
7.
Invites the Intergovernmental Panel on Climate Change, in cooperation with otherrelevant organizations, to prepare a technical paper on geological carbon storage technologies,
covering current information, and report on it for the consideration of the Conference of theParties serving as the meeting of the Parties to the Kyoto Protocol at its second session;
8.
Agrees that Parties included in Annex II to the Convention, and other Parties included in
Annex I in a position to do so, should give priority, in implementing their commitments under
Article 3, paragraph 14, of the Kyoto Protocol, to the following actions:(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 for energy price reforms to reflect market prices and externalities, inpursuit of the objective of the Convention;(b)
Removing subsidies associated with the use of environmentally unsound andunsafe 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 gasemitting advanced fossil-fuel technologies, and/or technologies relating to fossil fuels that
capture and store greenhouse gases, and encouraging their wider use; and facilitating theparticipation of the least developed countries and other Parties not included in Annex I in thiseffort;(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 consumption of fossil fuels in diversifying their economies;
9.
Encourages Parties included in Annex I to adopt policies and measures that will result in
reductions in emissions of greenhouse gases, as an effective contribution to minimizing theadverse effects of climate change, and to provide information on these policies and measures intheir national communications;

FCCC/CP/2001/13/Add.1
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10.
Decides to review the actions taken by Parties included in Annex I, in accordance withthis decision, and to consider, at its third session, what further actions are necessary; among theissues to be considered shall be the establishment of funding, insurance and transfer oftechnology, pursuant to Article 3, paragraph 14;
11.
Requests the secretariat to organize, before the second session of the Conference of theParties serving as the meeting of the Parties to the Kyoto Protocol, a workshop on reporting
methodologies on ways to minimize adverse social, environmental and economic impacts ondeveloping country Parties of the implementation of policies and measures by Parties included in
Annex I in achieving their quantified emission limitation and reduction commitments under
Article 3, paragraph 1;
12.
Requests the Subsidiary Body for Scientific and Technological Advice and the Subsidiary
Body for Implementation to consider the output of the workshop referred to in paragraph 11
above, and to make recommendations thereon to the second session of the Conference of theParties serving as the meeting of the Parties to the Kyoto Protocol.

FCCC/CP/2001/13/Add.1
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Decision 10/CP.7
Funding under the Kyoto Protocol
The Conference of the Parties,
Recalling Articles 10, 11 and 12, paragraph 8, of the Kyoto Protocol,
Recalling also its decisions 11/CP.1 and 15/CP.1,
Recalling further its decision 5/CP.6, containing the Bonn Agreements on theimplementation of the Buenos Aires Plan of Action,
Recognizing that funding should be made available to Parties not included in Annex I
which is new and additional to contributions under the Convention,
Recognizing also that appropriate modalities for burden sharing need to be developed,
Welcoming the statements made at the second part of the sixth session of the Conferenceof the Parties by most Parties included in Annex II1 on their willingness to commit themselves toprovide funding,
Welcoming also the joint political declaration made by the European Community and its
member States, together with Canada, Iceland, New Zealand, Norway and Switzerland, on their
preparedness to collectively contribute PLOOLRQ86PLOOLRQDQQXDOO\E\ZLWKWKLV
level to be reviewed in 2008,
1.
Decides that an adaptation fund shall be established to finance concrete adaptation
projects and programmes in developing country Parties that are Parties to the Protocol, as well asactivities identified in paragraph 8 of decision 5/CP.7;
2.
Decides also that the adaptation fund shall be financed from the share of proceedson the clean development mechanism project activities and other sources of funding;3.
Decides further that Parties included in Annex I that intend to ratify the
Kyoto Protocol are invited to provide funding, which will be additional to the share of proceeds
on clean development mechanism project activities;
4.
Decides also that the adaptation fund shall be operated and managed by an entity
entrusted with the operation of the financial mechanism of the Convention, under the guidance of
the Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol, withguidance to be provided by the Conference of the Parties in the period prior to entry into force ofthe Kyoto Protocol;

1

Joint political declaration by the European Community and its member States, together with Canada, Iceland,
New Zealand, Norway and Switzerland, and a statement by Japan. For the text of the political declaration and thestatement by Japan see document FCCC/CP/2001/MISC.4.

FCCC/CP/2001/13/Add.1
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5.
Invites the entity referred to in paragraph 4 above to make the necessary
arrangements for this purpose;
6.
Decides that Parties included in Annex I that intend to ratify the Kyoto Protocol
shall report on their financial contributions to the fund on an annual basis;
7.
Decides also to review the reports referred to in paragraph 6 above on an annual
basis, and that, upon entry into force of the Kyoto Protocol, such reports are to be reviewed by
the Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol.

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FCCC/CP/2001/13/Add.1
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Decision 11/CP.7
Land use, land-use change and forestry
The Conference of the Parties,
Recalling its decisions 1/CP.4, 8/CP.4, 9/CP.4 and 16/CP.5,
Recalling also its decision 5/CP.6, containing the Bonn Agreements on theimplementation of the Buenos Aires Plan of Action,
Acknowledging with appreciation the scientific advice provided in the Special Report on
Land use, Land-use Change and Forestry prepared by the Intergovernmental Panel on Climate
Change,1.
Recommends that the Conference of the Parties serving as the meeting of theParties to the Kyoto Protocol, at its first session, adopt draft decision -/CMP.1 (Land use, landuse change and forestry) below;
2.

Requests the Subsidiary Body for Scientific and Technological Advice (SBSTA):(a)
To consider, following the completion of the methodological work by theIntergovernmental Panel on Climate Change (IPCC) as outlined in paragraph 3 (c) below, andadopt methodologies to account for anthropogenic greenhouse gas emissions resulting fromdirect human-induced degradation and devegetation activities, with a view to the Conference of
the Parties at its tenth session recommending a decision for adoption by the Conference of theParties serving as the meeting of the Parties to the Kyoto Protocol at its first session regardingwhether such activities should be included in the first commitment period;(b)
To investigate the possible application of biome-specific forest definitions for thesecond and subsequent commitment periods with a view to the Conference of the Parties at its
tenth session recommending a decision for adoption on the use of such biome-specific forest
definitions for future commitment periods to the Conference of the Parties serving as the meetingof the Parties to the Kyoto Protocol at its first session;(c)
To incorporate the work of the IPCC as outlined in paragraph 3 (d) below into any
revisions of modalities, rules and guidelines prior to the second commitment period, for theaccounting of activities under Article 3.4 of the Kyoto Protocol;(d)
To develop at its sixteenth session terms of reference for the work to be conductedunder paragraph 2 (e) below;(e)
To develop definitions and modalities for including afforestation and reforestation
project activities under Article 12 in the first commitment period, taking into account the issuesof non-permanence, additionality, leakage, uncertainties and socio-economic and environmental
impacts, including impacts on biodiversity and natural ecosystems, and being guided by theprinciples in the preamble to draft decision -/CMP.1 (Land use, land-use change and forestry)FCCC/CP/2001/13/Add.1
EnglishPage 55
attached hereto and the terms of reference referred to in paragraph 2 (d) above, with the aim of
adopting a decision on these definitions and modalities at the ninth session of the Conference of
the Parties, to be forwarded to the Conference of the Parties serving as the meeting of the Parties
to the Kyoto Protocol at its first session;
3.

Invites the Intergovernmental Panel on Climate Change (IPCC):(a)
To elaborate methods to estimate, measure, monitor, and report changes in carbon
stocks and anthropogenic greenhouse gas emissions by sources and removals by sinks resulting
from land use, land-use change and forestry activities under Article 3, paragraphs 3 and 4, andArticles 6 and 12 of the Kyoto Protocol, on the basis of the Revised 1996 Intergovernmental
Panel on Climate Change Guidelines for National Greenhouse Gas Inventories, taking into
account the present decision (11/CP.7) and draft decision -/CMP.1 (Land use, land-use change
and forestry) attached hereto, to be submitted for consideration and possible adoption to theConference of the Parties at its ninth session;(b)
To prepare a report on good practice guidance and uncertainty management
relating to the measurement, estimation, assessment of uncertainties, monitoring and reporting of
net carbon stock changes and anthropogenic greenhouse gas emissions by sources and removals
by sinks in the land use, land-use change and forestry sector, taking into consideration the present
decision (11/CP.7) and draft decision -/CMP.1 (Land use, land-use change and forestry) attachedhereto, to be submitted for consideration and possible adoption to the Conference of the Parties
at its ninth session;(c)
To develop definitions for direct human-induced ‘degradation’ of forests and‘devegetation’ of other vegetation types and methodological options to inventory and report on
emissions resulting from these activities, to be submitted for consideration and possible adoption
to the Conference of the Parties at its ninth session; and,(d)
To develop practicable methodologies to factor out direct human-induced changes
in carbon stocks and greenhouse gas emissions by sources and removals by sinks from changes
in carbon stocks and greenhouse gas emissions by sources and removals by sinks due to indirect
human-induced and natural effects (such as those from carbon dioxide fertilization and nitrogen
deposition), and effects due to past practices in forests (pre-reference year), to be submitted to theConference of the Parties at its tenth session;4.
Decides that any changes to the treatment of harvested wood products shall be inaccordance with future decisions of the Conference of the Parties.

8th plenary meeting
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FCCC/CP/2001/13/Add.1
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Draft decision -/CMP.1 (Land use, land-use change and forestry)
Land use, land-use change and forestry
The Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol,
Affirming that the implementation of land use, land-use change and forestry activities
included under the provisions of the Kyoto Protocol shall be consistent with the objectives andprinciples of, and any decisions taken under, the United Nations Framework Convention on
Climate Change and its Kyoto Protocol,
Having considered decision 11/CP.7 adopted by the Conference of the Parties at its
seventh session,
1.
Affirms that the following principles govern the treatment of land use, land-use
change and forestry activities:(a)That the treatment of these activities be based on sound science;(b)
That consistent methodologies be used over time for the estimation and reportingof these activities;(c)That the aim stated in Article 3, paragraph 1 of the Kyoto Protocol not be changedby accounting for land use, land-use change and forestry activities;(d)That the mere presence of carbon stocks be excluded from accounting;(e)That the implementation of land use, land-use change and forestry activities
contributes to the conservation of biodiversity and sustainable use of natural resources;(f)That accounting for land use, land-use change and forestry does not imply atransfer of commitments to a future commitment period;(g)That reversal of any removal due to land use, land-use change and forestry
activities be accounted for at the appropriate point in time;(h)That accounting excludes removals resulting from: (i) elevated carbon dioxide
concentrations above their pre-industrial level; (ii) indirect nitrogen deposition; and (iii) the
dynamic effects of age structure resulting from activities and practices before the reference year;
2.
Decides that good practice guidance, and methods to estimate, measure, monitor
and report changes in carbon stocks and anthropogenic greenhouse gas emissions by sources andremovals by sinks resulting from land use, land-use change and forestry activities, as developedby the Intergovernmental Panel on Climate Change, shall be applied by Parties, if decided inaccordance with relevant decisions of the Conference of the Parties and the Conference of theParties serving as the meeting of the Parties to the Kyoto Protocol;
3.
Decides that anthropogenic greenhouse gas emissions by sources and removals bysinks shall be accounted for in accordance with the annex to the present decision and reported inFCCC/CP/2001/13/Add.1
EnglishPage 57
annual inventories and reviewed in accordance with relevant decisions relating to Articles 5, 7
and 8 of the Kyoto Protocol, and in accordance with the Revised 1996 IPCC Guidelines for
National Greenhouse Gas Inventories, any future elaboration of these guidelines, or parts ofthem, and any good practice guidance on land-use change and forestry in accordance with
relevant decisions of the Conference of the Parties and the Conference of the Parties serving as
the meeting of the Parties to the Kyoto Protocol;
4.
Adopts the definitions, modalities, rules and guidelines relating to land use, landuse change and forestry activities under Articles 3, 6 and 12 of the Kyoto Protocol contained in
the attached annex for application in the first commitment period.

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ANNEX
Definitions, modalities, rules and guidelines relating to land use, land-use change andforestry activities under the Kyoto Protocol
A. Definitions
1.
For land use, land-use change and forestry activities under Article1 3, paragraphs 3 and 4,
the following definitions shall apply:(a)“Forest” is a minimum area of land of 0.05-1.0 hectares with tree crown cover (orequivalent stocking level) of more than 10-30 per cent with trees with the potential to reach aminimum height of 2-5 metres at maturity in situ. A forest may consist either of closed forest
formations where trees of various storeys and undergrowth cover a high proportion of the groundor open forest. Young natural stands and all plantations which have yet to reach a crown densityof 10-30 per cent or tree height of 2-5 metres are included under forest, as are areas normallyforming part of the forest area which are temporarily unstocked as a result of human intervention
such as harvesting or natural causes but which are expected to revert to forest;(b)“Afforestation” is the direct human-induced conversion of land that has not been
forested for a period of at least 50 years to forested land through planting, seeding and/or thehuman-induced promotion of natural seed sources;(c)“Reforestation” is the direct human-induced conversion of non-forested land toforested land through planting, seeding and/or the human-induced promotion of natural seed
sources, on land that was forested but that has been converted to non-forested land. For the firstcommitment period, reforestation activities will be limited to reforestation occurring on thoselands that did not contain forest on 31 December 1989;(d)“Deforestation” is the direct human-induced conversion of forested land to nonforested land;(e)“Revegetation” is a direct human-induced activity to increase carbon stocks onsites through the establishment of vegetation that covers a minimum area of 0.05 hectares anddoes not meet the definitions of afforestation and reforestation contained here;(f)“Forest management” is a system of practices for stewardship and use of forest
land aimed at fulfilling relevant ecological (including biological diversity), economic and social
functions of the forest in a sustainable manner;(g)“Cropland management” is the system of practices on land on which agricultural
crops are grown and on land that is set aside or temporarily not being used for crop production;(h)“Grazing land management” is the system of practices on land used for livestock
production aimed at manipulating the amount and type of vegetation and livestock produced.

1“Article” in this annex refers to an Article of the Kyoto Protocol, unless otherwise specified.

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B. Article 3, paragraph 3
2.
For the purposes of Article 3, paragraph 3, eligible activities are those direct humaninduced afforestation, reforestation and/or deforestation activities that meet the requirements set
forth in this annex and that started on or after 1 January 1990 and before 31 December of the lastyear of the commitment period.
3.
For the purposes of determining the area of deforestation to come into the accounting
system under Article 3, paragraph 3, each Party shall determine the forest area using the same
spatial assessment unit as is used for the determination of afforestation and reforestation, but notlarger than 1 hectare.
4.
For the first commitment period, debits2 resulting from harvesting during the firstcommitment period following afforestation and reforestation since 1990 shall not be greater thancredits3 accounted for on that unit of land.
5.
Each Party included in Annex I shall report, in accordance with Article 7, on how
harvesting or forest disturbance that is followed by the re-establishment of a forest is
distinguished from deforestation. This information will be subject to review in accordance with
Article 8.
C. Article 3, paragraph 4
6.
A Party included in Annex I may choose to account for anthropogenic greenhouse gas
emissions by sources and removals by sinks resulting from any or all of the following humaninduced activities, other than afforestation, reforestation and deforestation, under Article 3,
paragraph 4, in the first commitment period: revegetation, forest management, cropland
management, and grazing land management.
7.
A Party included in Annex I wishing to account for activities under Article 3,
paragraph 4, shall identify, in its report to enable the establishment of its assigned amountpursuant to Article 3.7 and Article 3.8, the activities under Article 3, paragraph 4, which it elects
to include in its accounting for the first commitment period. Upon election, a decision by a Party
will be fixed for the first commitment period.
8.
During the first commitment period, a Party included in Annex I that selects any or all of
the activities mentioned in paragraph 6 above shall demonstrate that such activities haveoccurred since 1990 and are human-induced. A Party included in Annex I shall not account foremissions by sources and removals by sinks resulting from activities under Article 3,
paragraph 4, if these are already accounted for under Article 3, paragraph 3.
9.
For the first commitment period, accountable anthropogenic greenhouse gas emissions bysources and removals by sinks resulting from cropland management, grazing land management
and revegetation under Article 3, paragraph 4, shall be equal to anthropogenic greenhouse gas
2‘Debits’: where emissions are larger than removals on a unit of land.

3‘Credits’: where removals are larger than emissions on a unit of land.

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emissions by sources and removals by sinks in the commitment period, less five times theanthropogenic greenhouse gas emissions by sources and removals by sinks resulting from these
eligible activities in the base year of that Party, while avoiding double accounting.
10.
For the first commitment period, a Party included in Annex I that incurs a net source ofemissions under the provisions of Article 3, paragraph 3, may account for anthropogenic
greenhouse gas emissions by sources and removals by sinks in areas under forest management
under Article 3, paragraph 4, up to a level that is equal to the net source of emissions under theprovisions of Article 3.3, but not greater than 9.0 megatons of carbon times five, if the total
anthropogenic greenhouse gas emissions by sources and removals by sinks in the managed forest
since 1990 is equal to, or larger than, the net source of emissions incurred under Article 3,
paragraph 3.
11.
For the first commitment period only, additions to and subtractions from the assigned
amount of a Party4 resulting from forest management under Article 3, paragraph 4, after theapplication of paragraph 10 above and resulting from forest management project activities
undertaken under Article 6, shall not exceed the value inscribed in the appendix 5 below, times
five.
12.
A Party may request the Conference of the Parties to reconsider its numerical values as
contained in paragraph 10 and in the appendix to paragraph 11, with a view to the Conference of
the Parties recommending a decision for adoption to the Conference of the Parties serving as themeeting of the Parties to the Kyoto Protocol, no later than 2 years prior to the beginning of thefirst commitment period. Such a reconsideration shall be based upon country-specific data andthe elements of guidance and consideration in footnote 5 to paragraph 11. These shall be
submitted and reviewed in accordance with relevant decisions related to Articles 5, 7 and 8 of the
Kyoto Protocol, and in accordance with the Revised 1996 Intergovernmental Panel on Climate
Change Guidelines for National Greenhouse Gas Inventories, any future elaboration of theseguidelines, or parts of them, and any good practice guidance on land use, land-use change andforestry in accordance with the relevant decisions of the Conference of the Parties.
D. Article 12
13.
The eligibility of land use, land-use change and forestry project activities under Article 12
is limited to afforestation and reforestation.

4

5

In accordance with decision -/CMP.1 (Modalities for the accounting of assigned amounts).

In arriving at the values in the appendix below, the Conference of the Parties was guided by the application of an
85 per cent discount factor to account for the removals identified in paragraph 1(h) of decision -/CMP.1 (Land use,land-use change and forestry) and a 3 per cent cap on forest management, using a combination of data provided byParties and by the Food and Agriculture Organization (FAO). Consideration was also given to national
circumstances (including the degree of effort needed to meet Kyoto commitments and the forest management
measures implemented). The accounting framework established in this paragraph shall not be construed as
establishing any precedent for the second and subsequent commitment periods.

FCCC/CP/2001/13/Add.1
EnglishPage 6114.
For the first commitment period, the total of additions to a Party’s assigned amountresulting from eligible land use, land-use change and forestry project activities under Article 12
shall not exceed one per cent of base year emissions of that Party, times five.
15.
The treatment of land use, land-use change and forestry project activities under Article 12
in future commitment periods shall be decided as part of the negotiations on the second
commitment period.
E. General
16.
Each Party included in Annex I shall, for the purposes of applying the definition of“forest” as contained in paragraph 1(a) above, select a single minimum tree crown cover value
between 10 and 30 per cent, a single minimum land area value between 0.05 and 1 hectare and asingle minimum tree height value between 2 and 5 metres. The selection of a Party shall be fixed
for the duration of the first commitment period. The selection shall be included as an integral
part of its report to enable the calculation of its assigned amount pursuant to Article 3,
paragraphs 7 and 8 in accordance with decision 19/CP.7, and shall include the values for tree
crown cover, tree height and the minimum land area. Each Party shall justify in its reporting thatsuch values are consistent with the information that has historically been reported to the Foodand Agriculture Organization of the United Nations or other international bodies, and if theydiffer, explain why and how such values were chosen.
17.
For the first commitment period, and subject to other provisions in this annex, theadditions to and subtractions from the assigned amount of a Party pursuant to Article 3,
paragraphs 7 and 8 shall be equal to anthropogenic greenhouse gas emissions by sources andremovals by sinks measured as verifiable changes in carbon stocks, and non-carbon dioxidegreenhouse gas emissions during the period 1 January 2008 to 31 December 2012 resulting fromafforestation, reforestation and deforestation under Article 3.3 and forest management under
Article 3, paragraph 4, that have taken place since 1 January 1990. Where the result of thiscalculation is a net sink of greenhouse gases, this value shall be added to the assigned amount ofthat Party. Where the result of this calculation is a net source of greenhouse gas emissions, thisvalue shall be subtracted from the assigned amount of that Party.
18.
Accounting of anthropogenic greenhouse gas emissions by sources and removals by sinks
resulting from land use, land-use change and forestry activities under Article 3, paragraphs 3 and4, shall begin with the onset of the activity or the beginning of the commitment period,
whichever comes later.
19.
Once land is accounted for under Article 3, paragraphs 3 and 4, all anthropogenic
greenhouse gas emissions by sources from and removals by sinks on this land must be accounted
for throughout subsequent and contiguous commitment periods.
20.
National inventory systems under Article 5.1 shall ensure that areas of land subject toland use, land-use change and forestry activities under Article 3, paragraphs 3 and 4 are
identifiable, and information about these areas should be provided by each Party included in
Annex I in their national inventories in accordance with Article 7. Such information will be
reviewed in accordance with Article 8.

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21.
Each Party included in Annex I shall account for all changes in the following carbon
pools: above-ground biomass, below-ground biomass, litter, dead wood, and soil organic carbon.
A Party may choose not to account for a given pool in a commitment period, if transparent andverifiable information is provided that the pool is not a source.

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APPENDIX6
Party
Australia
Austria
BelarusBelgium
Bulgaria
CanadaCroatia
Czech Republic
Denmark
Estonia
FinlandFranceGermany
GreeceHungary
Iceland
Ireland
Italy
Japan
LatviaLiechtenstein
Lithuania
Luxembourg
MonacoNetherlands
New Zealand
NorwayPolandPortugal
Romania
Russian Federation
Slovakia
Slovenia
Spain
SwedenSwitzerland
UkraineUnited Kingdom

Mt C/yr
0.00
0.63
0.03
0.37
12.00
0.32
0.05
0.10
0.16
0.88
1.24
0.09
0.29
0.00
0.05
0.18
13.00
0.34
0.01
0.28
0.01
0.00
0.01
0.20
0.40
0.82
0.22
1.10
17.637
0.50
0.36
0.67
0.58
0.50
1.11
0.37

6

The list of countries in this table differs from that found in decision 5/CP.6 as a result of consultations
undertaken during the session.

7

This figure is changed to 33.00 Mt/C/yr by decision 12/CP.7 (Forest management activities under Article 3,
paragraph 4, of the Kyoto Protocol: the Russian Federation).

FCCC/CP/2001/13/Add.1
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Decision 12/CP.7
Forest management activities under Article 3, paragraph 4, of the
Kyoto Protocol: the Russian Federation
The Conference of the Parties,
Recalling its decision 5/CP.6, containing the Bonn Agreements on the implementation of
the Buenos Aires Plan of Action,
Recalling also the relevant provisions of decision 11/CP.7 and in particular,
paragraphs 10 and 11 of the annex to decision -/CMP.1 (Land use, land-use change andforestry), attached thereto,
Having considered a submission by the Russian Federation1 with regard to the value
stated for this Party in the appendix to the above-mentioned annex,
Decides that, for the first commitment period, additions to and subtractions from theassigned amount of the Russian Federation, resulting from forest management under Article 3.4
after the application of paragraph 10 of the above-mentioned annex, and resulting from forest
management projects under Article 6, shall not exceed 33 megatons of carbon per year, times
five.2

8th plenary meeting
10 November 2001

1

2

See FCCC/CP/2001/MISC.6.

This corrects an error in the appendix to the draft decision on land use, land-use change and forestry in document
FCCC/CP/2001/5/Add.2.

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Decision 13/CP.7“Good practices” in policies and measures among Parties
included in Annex I to the Convention1
The Conference of the Parties,
Recalling the relevant provisions of the United Nations Framework Convention on
Climate Change, in particular in Articles 4 and 7, paragraph 2(b), and of the Kyoto Protocol, inparticular in Articles 2, 3 and 7,
Recalling also its decision 8/CP.4 whereby it requested the Subsidiary Body for Scientificand Technological Advice to undertake preparatory work to enable the Conference of the Parties
serving as the meeting of the Parties to the Kyoto Protocol, at its first session after the entry into
force of the Kyoto Protocol, to consider ways to facilitate cooperation to enhance the individualand combined effectiveness of policies and measures under Article 2, paragraph 1(b), of the
Kyoto Protocol,
Recalling further its decision 5/CP.6, containing the Bonn Agreements on theimplementation of the Buenos Aires Plan of Action,
Noting the Chairman’s reports on the workshops held in Copenhagen from11 to 13 April 2000,2 pursuant to decision 8/CP.4, and from 8 to 10 October 2001,3 pursuant to
the request by the Conference of the Parties at the first part of its sixth session,4Appreciative of the contribution of the Governments of Denmark and France and Norway
in sponsoring these workshops,
Recognizing that the implementation of policies and measures contributes to achieving
the objectives of the Convention and the Kyoto Protocol,
Recognizing also the value of information exchanges on “good practices” in policies andmeasures which are based on national circumstances, in furthering the objectives of theConvention and the Kyoto Protocol,
1.
Decides, in making preparations during the lead-up to the first session of theConference of the Parties serving as the meeting of the Parties to the Kyoto Protocol, in relation
to Article 2, paragraph 1(b), of the Kyoto Protocol, to continue to facilitate cooperation among
1

In the context of this decision, the term “good practice” replaces the term “best practice”.

2

FCCC/SBSTA/2000/2.

3

FCCC/CP/SBSTA/2001/INF.5

4

FCCC/CP/200/5/Add.2, section III. F.

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Parties included in Annex I to the Convention (Annex I Parties) in order to enhance theindividual and combined effectiveness of policies and measures such as those in Article 2,paragraph 1(a), of the Kyoto Protocol, in particular by sharing experience and exchanging
information at a technical level, and taking into account national circumstances;2.
Decides further that the work referred to in paragraph 1 above should take place
under the guidance of the Subsidiary Body for Scientific and Technological Advice (SBSTA),
inter alia through initiatives involving all Parties and, as appropriate, environmental and businessnon-governmental organizations, and should include the exchange of information on policies andmeasures undertaken by Annex I Parties in all relevant sectors and on cross-cutting andmethodological issues;
3.
Decides that this work should contribute to the improvement of transparency,
effectiveness and comparability of policies and measures. To that end this work should:(a)Enhance transparency in reporting on policies and measures in the national
communications of Annex I Parties through, as appropriate, criteria and quantitative parameters,
and consider issues of methodology, attribution, and national circumstances;(b)
Facilitate information sharing on ways Annex I Parties have striven to implement
policies and measures in such 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 developing country Parties, taking into account information related to these issues
provided by Parties not included in Annex I to the Convention (non-Annex I Parties);(c)
Assist Parties and the Conference of the Parties in identifying further options forcooperation between Annex I Parties and other interested Parties to enhance the individual andcombined effectiveness of their policies and measures;
4.
Decides also that this work should contribute to the elaboration of elements forreporting information on demonstrable progress pursuant to decision 22/CP.7;
5.
Requests the secretariat, under the guidance of the SBSTA in collaboration with
relevant international and intergovernmental organizations of Annex I and non-Annex I Parties
active in the area of policies and measures, to support this work by organizing, inter alia,
workshops and side events and invites such organizations to provide input as appropriate and topresent a status report on their activities related to policies and measures to the SBSTA at its
seventeenth session;
6.
Requests the secretariat to make available the information on policies andmeasures implemented and planned related to this work as well as to provide information on
policies and measures reported in the third national communications by Annex I Parties whenavailable;
7.
Requests the SBSTA to consider at its seventeenth session the initial results
obtained from the actions taken pursuant to this decision and to report them to the Conference of
the Parties at its eighth session with a view to considering any further action;

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8.
Invites Annex I Parties and interested international organizations to provide thenecessary financial support for the workshops and other activities identified in this decision.

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Decision 14/CP.7
Impact of single projects on emissions in the commitment period
The Conference of the Parties,
Recalling its decision 1/CP.3, paragraph 5 (d),Recalling further its decision 5/CP.6, containing the Bonn Agreements on theimplementation of the Buenos Aires Plan of Action,
Having considered the conclusions of the Subsidiary Body for Scientific andTechnological Advice at its resumed thirteenth session,1Recognizing the importance of renewable energy in meeting the objective of theConvention,
1.
Decides that, for the purpose of this decision, a single project is defined as anindustrial process facility at a single site that has come into operation since 1990 or an expansionof an industrial process facility at a single site in operation in 1990;
2.
Decides that, for the first commitment period, industrial process carbon dioxide
emissions from a single project which adds in any one year of that period more than 5 per cent to
the total carbon dioxide emissions in 1990 of a Party listed in Annex B to the Protocol shall bereported separately and shall not be included in national totals to the extent that it would cause
the Party to exceed its assigned amount, provided that:(a)
The total carbon dioxide emissions of the Party were less than 0.05 per cent of thetotal carbon dioxide emissions of Annex I Parties in 1990 calculated in accordance with the tablecontained in the annex to document FCCC/CP/1997/7/Add.1;(b)
Renewable energy is used, resulting in a reduction in greenhouse gas emissions
per unit of production;(c)Best environmental practice is followed and best available technology is used tominimize process emissions;3.
Decides that the total industrial process carbon dioxide emissions reported
separately by a Party in accordance with paragraph 2 above shall not exceed 1.6 million tonnes ofcarbon dioxide annually on the average during the first commitment period and cannot betransferred by that Party or acquired by another Party under Articles 6 and 17 of the
Kyoto Protocol;

1

FCCC/SBSTA/2000/14.

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4.
Requests any Party that intends to avail itself of the provisions of this decision to
notify the Conference of the Parties, prior to its eighth session, of its intention;
5.
Requests any Party with projects which meet the requirements specified above, toreport emission factors, total process emissions from these projects, and an estimate of theemission savings resulting from the use of renewable energy in these projects in their annual
inventory submissions;
6.
Requests the secretariat to compile the information submitted by Parties inaccordance with paragraph 5 above, to provide comparisons with relevant emission factors
reported by other Parties, and to report this information to the Conference of the Parties serving
as the meeting of the Parties to the Kyoto Protocol.

8th plenary meeting
10 November 2001-----