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Climate Change Expert Group (CCXG)
Global Forum on the Environment and Climate
Change
14-15	March	2017	
	
Breakout Group 4: Developing guidance on information for CTU under the
Paris Agreement
	
Summary	note	from	Marcelo	T.	Rocha1	on	the	question2:		
What	are	the	links	between	guidance	on	CTU	and	other	guidance	under	the	Paris	
Agreement	that	will	also	influence	the	CTU	of	NDCs,	such	as	on	accounting	and	
reporting	of	progress?	
	
First,	 let	 me	 thanks	 OECD	 and	 IEA	 for	 the	 invitation	 for	 participate	 in	 this	
meeting	 and	 Sara	 Moarif	 for	 the	 very	 useful	 draft	 discussion	 document	
“Information	needed	to	facilitate	the	clarity,	transparency	and	understanding	of	
mitigation	contributions”.	
I	would	like	to	invite	all	participants	to	picture	themselves	as	a	member	of	the	
technical	 expert	 review	 (TER)	 team	 that	 will	 conduct	 the	 first	 centralized	
review	of	the	information	submitted	in	the	first	biennial	report	under	Article	13	
(“Transparency	 Framework	 for	 Action	 and	 Support”)	 of	 the	 Paris	 Agreement	
(PA)	–	the	“biennial	transparency	report	BTR”3.	
	
What	would	be	your	task	and	priorities?		
According	 to	 the	 PA,	 information	 submitted	 under	 Article	 13,	 paragraph	 7	
(“National	Inventory	Report”	–	NIR	and	“Information	necessary	to	track	progress	
made	 in	 implementing	 and	 achieving	 its	 nationally	 determined	 contribution	
under	Article	4”)	and	paragraph	9	(“information	on	financial,	technology	transfer	
and	capacity-building	support	provided”)	shall	undergo	a	TER4.		
																																																								
1	Fábrica	Éthica	Brasil	–	Sustainability	Consultancy.	Contacts:	
marcelo.trocha@fabricaethica.com.br		
2	This	summary	note	reflect	the	personal	view	of	the	author	and	don’t	represent	the	view	of	any	
Party.	
3	In	this	summary	note	the	term	“BTR”	will	be	used	to	designate	the	biennial	report	under	Article	
13	of	the	Paris	Agreement.	
4	Article	13,	paragraph	11
Therefore	 you	 will	 need	 to	 review	 such	 information	 according	 to	 “common	
modalities,	procedures	and	guidelines”	(MPG)	of	Article	135	to	be	developed	
by	the	Ad	Hoc	Working	Group	on	the	Paris	Agreement	(APA).		
In	terms	of	the	NIR	the	information	presented	in	the	first	BTR	will,	in	best-case	
scenario,	 cover	 the	 emissions	 and	 removals	 of	 2	 years	 behind	 the	 submission	
year.	For	example,	if	the	first	BTR	is	submitted	in	2020,	the	inventories	years	will	
cover	emissions	and	removals	that	have	occurred	until	2018.	
So,	the	focus	of	the	first	review	of	first	BTR	should	be	on	information	about	NDC	
and	the	support	provided.	
	
What	kind	of	information	and/or	details	you	need	for	properly	review	the	“track	
of	progress”	of	the	NDC?		
First,	you	will	need	clarity,	transparency	and	understanding	(CTU)	about	the	
NDC.	If	you	use	the	current	information	that	has	being	included	in	the	existent	
NDC6,	 submitted	 taking	 into	 consideration	 paragraph	 27	 of	 Decision	 1/CP.217,	
you	will	probably	end	up	raising	a	lot	of	questions	to	complement	and/or	better	
understand	the	NDC,	because	the	information	that	have	being	presented	up	to	
now	is	very	concise	and	not	necessary	fully	transparent.		
To	facilitate	and	enhance	the	level	of	detail	and	transparency,	Decision	1/CP.21,	
paragraph	 28,	 requested	 the	 APA	 to	 develop	 further	 guidance	 for	 the	
information	 to	 be	 provided	 by	 Parties	 in	 order	 to	 facilitate	 clarity,	
transparency	and	understanding	of	the	NDC.	
	
What	are	the	links	between	further	guidance	on	CTU	and	other	guidance’s	under	
the	PA?	
In	order	to	allow	that	the	TER	teams	have	all	the	information	and	orientation	
they	need	to	perform	they	tasks	with	confidence	is	imperative	that	the	“further	
guidance	on	CTU”	and	the	“MPG	of	Article	13”	is	adopted	by	Conference	of	the	
Parties	serving	as	the	meeting	of	the	Parties	to	the	Paris	Agreement	(CMA)	at	
2018	and	is	desirable	that	Parties	communicate	new	NDCs	and/or	update	the	
NDCs	by	20208	with	new	information	related	to	CTU.	
Is	also	imperative	that	the	“further	guidance	on	CTU”	and	the	elements	of	the	
“MPG	 of	 Article	 13”	 related	 to	 the	 reporting	 and	 review	 of	 the	 “information	
necessary	to	track	progress	made	in	implementing	and	achieving	its	nationally	
																																																								
5	Article	13,	paragraph	13	
6	Available	at	the	NDC	registry	(interim):	http://www4.unfccc.int/ndcregistry/Pages/Home.aspx		
7	“…	quantifiable	information	on	the	reference	point	(including,	as	appropriate,	a	base	year),	time	
frames	and/or	periods	for	implementation,	scope	and	coverage,	planning	processes,	assumptions	
and	methodological	approaches	including	those	for	estimating	and	accounting	for	anthropogenic	
greenhouse	gas	emissions	and,	as	appropriate,	removals,	and	how	the	Party	considers	that	its	
nationally	determined	contribution	is	fair	and	ambitious,	in	the	light	of	its	national	circumstances,	
and	how	it	contributes	towards	achieving	the	objective	of	the	Convention”.		
8	Paragraphs	23	and	24	of	Decision	1/CP.21.
determined	contribution	under	Article	4”	are	fully	consistent.	To	achieve	such	
consistency	Parties	may	agree	that	the	information	present	as	CTU,	in	the	first	
BTR,	will	“trigger	indicators”	that	would	be	used	in	subsequent	BTRs	to	allow	the	
track	of	progress.	The	review	of	the	“track	of	progress”	would	be	them	made	on	
the	basis	of	the	initial	information	(i.e.	the	CTU)	and	the	indicators	derived	from	
the	CTU.	
Finally,	is	worth	to	mention	that	the	guidance	for	“account	for	the	NDC”	(from	
Article	4,	paragraph	13)	can	only	be	fully	applied	after	the	submission	of	the	BTR	
that	have	the	NIR	that	covers	the	final	year	of	the	NDC	cycle.	For	example,	a	NDC	
with	a	mitigation	contribution	for	2030	can	only	be	“accounted	for”	in	the	year	
2033	when	the	TER	report	of	the	BTR	received	in	2032	with	the	NIR	that	cover	
the	year	2030	will	be	available.	
Even	 with	 this	 “late	 account	 for”	 the	 elements	 related	 to	 accounting	 in	 the	
guidance	of	Article	6,	paragraph	2	shall	be	applied	in	each	BTR	submission	and	
TER	 cycle.	 In	 order	 words,	 the	 use	 of	 internationally	 transferred	 mitigation	
outcomes	(ITMOS)	shall	be	reported	under	the	“information	necessary	to	track	
progress”	 in	 each	 BTR	 and	 be	 reviewed	 accordantly	 until	 the	 year	 when	 the	
guidance	for	“account	for	the	NDC”	will	be	fully	applied.	
	
Once	again	thanks	for	the	opportunity	and	I	will	be	available	to	respond	to	any	
question	and/or	comment.	
	
Marcelo	T.	Rocha,	Paris,	March	15th	2017.

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CCCXG Global Forum March 2017 BG4 Summary note: links between guidance on CTU and other guidance under the Paris Agreement by Marcelo Rocha

  • 1. Climate Change Expert Group (CCXG) Global Forum on the Environment and Climate Change 14-15 March 2017 Breakout Group 4: Developing guidance on information for CTU under the Paris Agreement Summary note from Marcelo T. Rocha1 on the question2: What are the links between guidance on CTU and other guidance under the Paris Agreement that will also influence the CTU of NDCs, such as on accounting and reporting of progress? First, let me thanks OECD and IEA for the invitation for participate in this meeting and Sara Moarif for the very useful draft discussion document “Information needed to facilitate the clarity, transparency and understanding of mitigation contributions”. I would like to invite all participants to picture themselves as a member of the technical expert review (TER) team that will conduct the first centralized review of the information submitted in the first biennial report under Article 13 (“Transparency Framework for Action and Support”) of the Paris Agreement (PA) – the “biennial transparency report BTR”3. What would be your task and priorities? According to the PA, information submitted under Article 13, paragraph 7 (“National Inventory Report” – NIR and “Information necessary to track progress made in implementing and achieving its nationally determined contribution under Article 4”) and paragraph 9 (“information on financial, technology transfer and capacity-building support provided”) shall undergo a TER4. 1 Fábrica Éthica Brasil – Sustainability Consultancy. Contacts: marcelo.trocha@fabricaethica.com.br 2 This summary note reflect the personal view of the author and don’t represent the view of any Party. 3 In this summary note the term “BTR” will be used to designate the biennial report under Article 13 of the Paris Agreement. 4 Article 13, paragraph 11
  • 2. Therefore you will need to review such information according to “common modalities, procedures and guidelines” (MPG) of Article 135 to be developed by the Ad Hoc Working Group on the Paris Agreement (APA). In terms of the NIR the information presented in the first BTR will, in best-case scenario, cover the emissions and removals of 2 years behind the submission year. For example, if the first BTR is submitted in 2020, the inventories years will cover emissions and removals that have occurred until 2018. So, the focus of the first review of first BTR should be on information about NDC and the support provided. What kind of information and/or details you need for properly review the “track of progress” of the NDC? First, you will need clarity, transparency and understanding (CTU) about the NDC. If you use the current information that has being included in the existent NDC6, submitted taking into consideration paragraph 27 of Decision 1/CP.217, you will probably end up raising a lot of questions to complement and/or better understand the NDC, because the information that have being presented up to now is very concise and not necessary fully transparent. To facilitate and enhance the level of detail and transparency, Decision 1/CP.21, paragraph 28, requested the APA to develop further guidance for the information to be provided by Parties in order to facilitate clarity, transparency and understanding of the NDC. What are the links between further guidance on CTU and other guidance’s under the PA? In order to allow that the TER teams have all the information and orientation they need to perform they tasks with confidence is imperative that the “further guidance on CTU” and the “MPG of Article 13” is adopted by Conference of the Parties serving as the meeting of the Parties to the Paris Agreement (CMA) at 2018 and is desirable that Parties communicate new NDCs and/or update the NDCs by 20208 with new information related to CTU. Is also imperative that the “further guidance on CTU” and the elements of the “MPG of Article 13” related to the reporting and review of the “information necessary to track progress made in implementing and achieving its nationally 5 Article 13, paragraph 13 6 Available at the NDC registry (interim): http://www4.unfccc.int/ndcregistry/Pages/Home.aspx 7 “… quantifiable information on the reference point (including, as appropriate, a base year), time frames and/or periods for implementation, scope and coverage, planning processes, assumptions and methodological approaches including those for estimating and accounting for anthropogenic greenhouse gas emissions and, as appropriate, removals, and how the Party considers that its nationally determined contribution is fair and ambitious, in the light of its national circumstances, and how it contributes towards achieving the objective of the Convention”. 8 Paragraphs 23 and 24 of Decision 1/CP.21.
  • 3. determined contribution under Article 4” are fully consistent. To achieve such consistency Parties may agree that the information present as CTU, in the first BTR, will “trigger indicators” that would be used in subsequent BTRs to allow the track of progress. The review of the “track of progress” would be them made on the basis of the initial information (i.e. the CTU) and the indicators derived from the CTU. Finally, is worth to mention that the guidance for “account for the NDC” (from Article 4, paragraph 13) can only be fully applied after the submission of the BTR that have the NIR that covers the final year of the NDC cycle. For example, a NDC with a mitigation contribution for 2030 can only be “accounted for” in the year 2033 when the TER report of the BTR received in 2032 with the NIR that cover the year 2030 will be available. Even with this “late account for” the elements related to accounting in the guidance of Article 6, paragraph 2 shall be applied in each BTR submission and TER cycle. In order words, the use of internationally transferred mitigation outcomes (ITMOS) shall be reported under the “information necessary to track progress” in each BTR and be reviewed accordantly until the year when the guidance for “account for the NDC” will be fully applied. Once again thanks for the opportunity and I will be available to respond to any question and/or comment. Marcelo T. Rocha, Paris, March 15th 2017.