Download The international regime for adaptation to climate change

The international regime for
adaptation to climate change
Internal working paper for the Centre for Climate and Resilience
Research (CR2)
Lisa Caripis
2014
This working paper is intended as an internal reference document for CR2. It provides an overview of the milestones in the evolution of the
international legal framework for adaptation to climate change under the United Nations Framework Convention on Climate Change
(UNFCCC) and includes details of the relevant institutions and their responsibilities as well as extracts from the legal texts.
Contents
FOREWORD ....................................................................................................................................................................................................................................... 3
OVERVIEW ......................................................................................................................................................................................................................................... 4
Adaptation under the United Nations Framework Convention on Climate Change (UNFCCC) .................................................................................................... 5
International Adaptation Obligations............................................................................................................................................................................................ 6
Milestones in the evolution of the international framework for adaptation ............................................................................................................................... 9
COMMENTARY AND ANALYSIS ........................................................................................................................................................................................................ 15
Adaptation paradigms ................................................................................................................................................................................................................. 15
Challenges ................................................................................................................................................................................................................................... 18
OUTLOOK TO 2015 .......................................................................................................................................................................................................................... 19
APPENDIX 1.REFERENCES TO KEY CONCEPTS OF ADAPTATION ...................................................................................................................................................... 21
APPENDIX 2.TIMELINE OF MILESTONES .......................................................................................................................................................................................... 23
APPENDIX 3.GOVERNANCE ARRANGEMENTS ................................................................................................................................................................................. 31
APPENDIX 4. EXTRACTS FROM THE CONVENTION AND KYOTO PROTOCOL ................................................................................................................................... 37
REFERENCES .................................................................................................................................................................................................................................... 51
2
FOREWORD
This internal working paper aims to provide members of CR2 with information on the international regime for adaptation to climate change both generally
and in respect of Chile’s legal obligations and eligibility for international assistance.
The international regime as described in this working paper comprises the institutions, rules and official guidelines related to adaptation to climate change.
An understanding of the type of adaptation mandated by the international regime as well as the related institutions and their roles and responsibilities can
serve to enhance contributions to the development of Chile’s legal, policy and institutional response to the impacts of climate change, such as the sectoral
and national adaptation plans.
Moreover, there is a strong case to be made that the work of CR2 is helping Chile to meet its international commitments relating to undertaking systematic
observation of the climate system, conducting research, assessing and reporting on vulnerability to those impacts, developing and implementing programs
and policy responses and the building capacity of the country to prepare for and deal with climate change more generally.
The working paper is organized into three sections. The first section provides an overview of the milestones in the evolution of the international legal
framework for adaptation, highlighting key obligations and the institutions and mechanisms established to implement them. The second section briefly
comments on some of the trends or models for adaptation emerging from this process, contrasts the evolving regime for adaptation with that for mitigation
and notes some points of tension and challenges. The four appendices in the third section provide more detailed information on the milestones, governance
arrangements (institutions and their responsibilities) and the primary legal sources (the United Nations Framework Convention on Climate Change and the
Kyoto Protocol).
3
OVERVIEW
As the preamble to the United Nations Convention on Climate Change
(UNFCCC) acknowledges, ‘the global nature of climate change calls for the
widest possible cooperation by all countries and their participation in an
effective and appropriate international response’
In the context of climate change mitigation the reasons for this are
obvious: the failure of countries to take measures to reduce their
emissions will exacerbate global warming, which has impacts world-wide.
Achieving the global goal of stabilising the concentration of atmospheric
greenhouse gases at safe levels requires international cooperation: to
reach agreement on how much emission need to be reduced by, by which
countries, how soon, and how. International law has a role in making
these agreements binding and enforceable.
On the other hand, measures to deal with the effects of climate change
(climate change adaptation) have benefits predominantly at the national
and sub-national level. Is there nevertheless a need for international
cooperation? Yes.
Principally, as has been recognised by the international community,
cooperation is necessary for reasons of equity and justice: some of the
most vulnerable countries with the fewest resources and weakest ability
to cope with the impacts of climate change are the least responsible for
the problem. Do more capable and better resourced countries have a
responsibility to help these vulnerable countries? If yes, in what way?
International cooperative arrangements are necessary to resolve
questions about how to support developing countries, such as: What form
4
should this support take (financial assistance, capacity building and/or
technology)? Who should pay for or provide assistance to help vulnerable
countries adapt? Which countries should receive assistance? On what
terms? What kinds of institutions are necessary to administer this
process? Is there a need for international arrangements to reduce the risk
of loss and damage from extreme weather and climate events where
adaptation is inadequate or no longer possible? Should this include
compensation or some kind of insurance to provide redress for loss and
damage resulting from such events?
Secondly, international cooperation is necessary to facilitate the
dissemination and sharing of information, experiences and knowledge of
best practice adaptation planning and implementation of adaptation
measures. Reporting obligations and the adoption of uniform
methodologies to assess vulnerabilities, identify priorities and chart
progress in taking and supporting adaptation actions can assist in painting
a picture of progress on adaptation worldwide.
Lastly, local climate change impacts can have flow-on effects that require
a regional, if not global, response such as displacement of people as a
result of climate change. Some have questioned whether the Refugee
Convention is an appropriate international legal framework through
which to deal with this issue.1 Climate change impacts have also been
1
See, eg, United Nations High Commissioner for Refugees, Summary of
Deliberations on Climate Change and Displacement (April 2011). [online]
<http://www.unhcr.org/4da2b5e19.pdf >. Mariya Gromilova and Nicola Jägers,
Climate change induced displacement and international law. In: J. Verschuuren
(Ed) Research handbook on climate change adaptation law. Cheltenham, Edgar
considered as a threat to international peace and security, invoking a
role for more traditional forms of international law regarding the use of
force, for example, and institutions like the United Nations Security
Council.2 Outside of the United Nations, a number of other international
institutions are involved in addressing climate change,3 like the World
Bank,4 and the Organisation for Economic Cooperation and Development
(OECD).5
Largely, however, the international legal regime for climate change exists
within the parameters of the United Nations Framework Convention on
Climate Change (UNFCCC), which defines the scope for international
action on climate change. The UNFCCC entered into force in 1994 and
establishes the legal framework that will be the focus of this working
paper.
Chile ratified the UNFCCC in 1994 and its Kyoto Protocol in 2002 and
accordingly is bound by the relevant provisions of each.
Adaptation under the United Nations Framework
Convention on Climate Change (UNFCCC)
While the international legal framework for climate change is generally
associated with efforts to reduce emissions of greenhouse gases (climate
change mitigation), it has from the outset, in fact, addressed the need for
cooperative action to deal with the impacts 6 of climate change
(adaptation).
The UNFCCC sets out broadly phrased commitments. Many of these apply
both to mitigation and adaptation. Article 4 contains the most notable of
these commitments (see Appendix 2 for more detail).
Text Box 1: Guiding principles (Article 3)
The UNFCCC also contains principles to guide the development of more
concrete measures to achieve its objectives. These principles provide that
adaptation and mitigation measures should

Elgar, 2013; Etienne Piguet, Frank Laczko (eds) People on the Move in a Changing
Climate: The Regional Impact of Environmental Change on Migration. Dordrecht,
Springer, 2013.
2
See, Stephanie Cousins, UN Security Council: playing a role in the international
climate change regime? Global Change, Peace and Security 25(2) 191-210. 2013;
Christopher Penny, Climate Change and the Security Council. CISDL Legal Working
Paper Series on Climate Change Law and Policy (2007).
3
See Robert Keohane and David Victor. The Regime complex for climate change.
The Harvard Project on International Climate Agreements. January 2010. p. 5.
4
World Bank. Climate Change. [online].
<http://www.worldbank.org/en/topic/climatechange>
5
OECD. Adaptation to climate change. [online].
<http://www.oecd.org/env/cc/adaptation.htm>.
5




6
Recognize that countries have common but differentiated
responsibilities
Consider that countries vulnerable to the effects of climate change and
developing countries deserve special treatment
Follow the precautionary principle
Enable countries to pursue their right to sustainable development,
including economic development
Not be contrary to an open and liberal international economic system.
As is evident from the text of the Convention, the UNFCCC is concerned with
reducing the risks associated with the negative or adverse impacts of climate
change, rather than assisting countries in taking advantage of its beneficial
effects.
International Adaptation Obligations

Adaptation measures
o Formulating and implementing programs containing
adaptation measures
o Cooperating in preparing for adaptation to climate
change impacts

Engagement with and involvement of the public
o Promoting education and awareness raising on climate
change and its impacts
o Promoting public access to information on climate
change and its impacts
o Promoting public participation in addressing climate
change
o Cooperating at the international level in this regard
The commitments in Article 4 relate to:





Research, systematic observation and data collection
Communication and exchange of information related to climate
impacts and adaptation
Adaptation measures
Engagement with and involvement of the public
Assisting developing and vulnerable countries, particularly least
developed countries (LDCs)
More specifically, all parties have commitments in relation to the
following7:


7
Research, systematic observation and data collection
o Promoting systematic observation of the climate system
o Promoting scientific, technological and socio-economic
research related to the climate system
o Cooperating and supporting international efforts in this
regard
Communication and exchange information
o Exchanging relevant scientific, legal, social-economic and
technological information
o Communicating progress in relation to the
implementation of commitments through the publication
of periodic National Communications
See Appendix 4 for the relevant extracts from the UNFCCC.
6
Assisting developing and vulnerable countries, particularly least
developed countries (LDCs)
o
Annex II (see Text Box 2) developed country parties have
an obligation to assist those developing countries that
are particularly vulnerable to the adverse effects of
climate change in meeting the costs of adaptation to
those adverse effects.
o
Annex II developed country parties have an obligation to
assist developing country parties fulfill their Convention
commitments by
 Providing financial assistance


o
Providing technical and technological assistance
Building the capacity of developing countries to
participate in research and undertake systematic
observation at a national and international level.
Text Box 2: Parties to the Convention
Annex I parties are the original members of the OECD plus a
number of Economies in Transition (former Soviet states). They
have obligations under the UNFCCC to reduce their emissions
and rigorous reporting requirements.
Annex II parties are the OECD member countries at 1992 as well
as the European Union. In addition to their emission reduction
obligations, they have obligations to provide financial and
technological assistance to developing countries.
Non-Annex I parties, like Chile, are typically developing
countries. The Convention provides for the needs of developing
countries, especially Least Developed Countries and those
countries particularly vulnerable to the adverse effects of
climate change, to be addressed.
Least Developing Countries (LDCs) are identified by the United
Nations. There are currently 49 LDCs. Source: UNCTAD, The
Least Developing Countries Report (2013), p. v.
Although Chile is now a member of the OECD it is a non-annex I
party. In this sense it appears to be a developing country for the
purposes of the UNFCCC.
7
Parties are to especially consider developing countries
that are particularly vulnerable to the adverse effects of
climate change, described as (Article 4.8)
 (a) Small island countries;
 (b) Countries with low-lying coastal areas;
 (c) Countries with arid and semi-arid areas,
forested areas and areas liable to forest decay;
 (d) Countries with areas prone to natural
disasters;
 (e) Countries with areas liable to drought and
desertification;
 (f) Countries with areas of high urban
atmospheric pollution;
 (g) Countries with areas with fragile ecosystems,
including mountainous ecosystems;
 (h) Countries whose economies are highly
dependent on income generated from the
production, processing and export, and/or on
consumption of fossil fuels and associated
energy-intensive products; and
 (i) Land-locked and transit countries.
Chile exhibits seven out of the nine characteristics.8 It has
been recognised as a country vulnerable to the adverse
impacts of climate change.9
8
Gobierno de Chile. CONAMA. Plan de Acción Nacional de Cambio Climático
2008-2012. p. 13.
Chile’s second national communication from 2011details its progress on
meeting each of these commitments.10
The report highlights the key sectors vulnerable to the impacts of climate
change such as agriculture and energy and includes the measures
proposed to address these vulnerabilities.
It documents the efforts made in respect of developing technology,
conducting research, promoting education on climate change and building
capacity.
Chapter 5 covers Chile’s efforts in regard to monitoring and systematic
observation of the climate system, with a particular emphasis on the
country’s glaciers. The work of national agencies in this area contributes
to regional and international collaborative research efforts. Importantly,
the report also identifies gaps in the scope of observation underway and
where improvements may need to be made.
The report gives examples of instances of international cooperation with
specific countries like the United States, Japan and Spain11 and the final
chapter is dedicated to identifying the obstacles, gaps and needs in
respect of finance, technology and capacities.
9
Adaptation Fund Board Project and Programme Review Committee,
Thirteenth Meeting Bonn, Germany, 29-30 October 2013
Agenda Item 4 a) Technical Review of Project/programme proposal. p. 6. [online]
<https://www.adaptationfund.org/sites/default/files/AFB.PPRC_.13.4.%20Proposal%20for%20Chile.pdf>.
10
Gobierno de Chile. MMA. Segunda comunicación de Chile ante la Convención
de las naciones unidas sobre cambio climático. 2011.
11
Ibid., pp. 265-267.
8
Figure 1. Second National Communication (2011) p. 133.
Milestones in the evolution of the international
framework for adaptation
Text Box 3: Conference of the Parties (COP)
The COP is the supreme decision-making body of the Convention.
All States that are Parties to the Convention are represented at the
COP, at which they review the implementation of the Convention and
any other legal instruments that the COP adopts and take decisions
necessary to promote the effective implementation of the Convention,
including institutional and administrative arrangements.
The COP meets annually in December.
Source: UNFCCC, Conference of the Parties, available at
http://unfccc.int/bodies/body/6383.php.
Parties to the UNFCCC have adopted decisions at the annual Conference
of the Parties (COP) to establish various programs and mechanisms to
implement their commitments.
Some of the key milestones include:12
 National Communications Guidelines
Improving communication about climate change impacts,
vulnerability and adaptation:
o The reports of Annex I parties on the steps they are taking
to implement their Convention obligations (National
Communications) are to include information on the
expected impacts of climate change and action taken to
respond to those impacts.13
o The National Communications of non-Annex I parties
(such as Chile) are to include an assessment of
Figure 2. Source: Adaptation Committee (2013), p. 12.
12
Refer to Appendix 2 for more details.
Decision 9/CP.2 FCCC/CP/1996/15/Add.1, Annex: Guidelines, especially paras 2,
41-47; updated by Decision 4/CP.5 FCCC/CP/1999/7, Guidelines, para 49.
13
9
o
vulnerabilities to adverse climate impacts, concerns and
needs arising from those adverse impacts and steps taken
to develop and implement adaptation programs.14


o
COP 7 (2001) Least Developed Countries Work Program
Supporting Least Developing Countries by establishing:
o A mechanism for developing and implementing
adaptation measures - National Adaptation Programmes
of Action (NAPAs).
o An institution to assist with preparation of NAPAs - LDC
Expert Group (LEG)
o Financing institutions
 Least Developing Countries Fund to fund
preparation and implementation of NAPAs.
 Adaptation Fund (commenced operations in
2007).
o
COP11 (2005) Nairobi Work Programme on impacts,
vulnerability and adaptation to climate change
Promoting information exchange, research and capacity building
o The Subsidiary Body for Scientific and Technical Advice
(SBSTA) was asked to commence a work programme to
enhance parties’ ability to assess climate impacts and
vulnerability and to develop and take adaptation
measures in response.15
14
Decision 17/CP.18 FCCC/CP/2002/7/Add.2, paras 28-36. The guidelines include
suggested methodologies.
15
Decision 2/CP.11 FCCC/CP/2005/5/Add.1. See appendix 2 for more details.
10
16
The work programme primarily operates by sharing
information on different practices and approaches and
involves participation from a wide range of actors
including from the private sector.
The work programme especially aims to assist developing
and vulnerable countries.
Its work continues today..

COP15 (2009) Copenhagen Accord
Financial support for developing countries
o Developed countries committed to provide USD 30 billion
between 2010 and 2012 as ‘fast-start finance’ and USD
100 billion per year from the year 2020 as long-term
finance for both adaptation and mitigation.
o ‘Funding for adaptation will be prioritized for the most
vulnerable countries, such as least developed countries,
small-island developing States and Africa.’16

COP 16 (2011) Cancun Adaptation Framework
Supporting developing countries (See next page)
o New institutions and mechanisms
o Finance
o Technology
o Capacity building

COP 21 (2015) Adoption of a new, international agreement for
the period from 2020 onwards?
Decision 2/CP.15 FCCC/CP/2009/11/Add.1, para 8.
The Cancun Adaptation Framework
After years of negotiating, the parties made significant progress at the
16th COP in Cancun, Mexico, in 2010 where they established the Cancun
Adaptation Framework (CAF) to better support developing countries in
preparing for and adapting to the impacts of climate change.
The CAF was created as part of the Cancun Agreements which also
further developed the following aspects of the Convention in respect of
both adaptation and mitigation:
Key features of the CAF include:
 The Adaptation Committee, a new institution to coordinate
international adaptation efforts.
 National Adaptation Plans to facilitate long term planning for,
and implementation of, adaptation actions in developing
countries.17
o Containing four elements (1) laying groundwork and
addressing gaps, (2) preparing preparatory elements, (3)
creating implementation strategies, and (4) reporting,
monitoring and reviewing data.18
 A work program on loss and damage under the Subsidiary Body
for Implementation (SBI)to consider approaches to address this
issue (at COP19 parties established the Warsaw international
mechanism for loss and damage, see below).
17
UNFCCC. National Adaptation Plans. [online]
<http://unfccc.int/adaptation/workstreams/national_adaptation_plans/items/60
57.php>.
18
Decision 5/CP.17 FCCC/CP/2011/9/Add.1 Annex.
11
19

Finance19
o The parties reiterated commitments made at COP15 in
Copenhagen20 to provide USD 30 billion between 2010
and 2012 as ‘fast-start finance’ for adaptation and
mitigation and USD 100 billion per year from the year
2020 as long term finance.
o Established the Green Climate Fund to coordinate the
collection and disbursement of these funds.
o Decided that ‘scaled-up, new and additional, predictable
and adequate funding shall be provided to developing
country Parties, taking into account the urgent and
immediate needs of developing countries that are
particularly vulnerable to the adverse effects of climate
change.’

Technology21
o Established new institutions, the Technology Executive
Committee and the Climate Technology Centre and
Network to promote technology development for both
adaptation and mitigation22.
Decision 1/CP.16 FCCC/CP/2010/7/Add.1 paras 95-112.
Decision 2/CP.15 FCCC/CP/2009/11/Add.1 para 8.
21
Decision 1/CP.16 FCCC/CP/2010/7/Add.1 paras 113-129.
22
Ibid. paras 121-123.
20

Capacity Building23
o Defined the purposes of capacity building, being, among
other things, to strengthen information generating and
sharing networks, communication, education, training
and public awareness and supporting capacity building
needs identified in a number of areas including
adaptation.
At later COPs the parties have attempted to refine some of the details
relating to the operation of the CAF, for example endorsing technical
guidelines for the National Adaptation Plans, 24 and establishing a
mechanism to address loss and damage.
The Warsaw International Mechanism for Loss and Damage
Associated with Climate Change Impacts
Should the international climate regime deal with the risk of harm
associated with unavoidable climate change impacts? Is there a need for
cooperative arrangements to redress this harm? If so, what type of harm
should be addressed? Which parties should be eligible for assistance?
What form should this assistance take? And, importantly, who will
provide it? These have been some of the questions that the parties have
been considering in recent years.
While the first mention of loss and damage occurred during the
negotiations of the UNFCCC itself in 1991 (see Text Box 4), proper,
systematic consideration of the issue really only commenced with the
Text Box 4. Loss and Damage under the UN negotiations
‘The concept of loss and damage first appeared in global climate change negotiations in
1991, when Vanuatu proposed an international insurance pool to compensate small
island developing states for the impacts of sea-level rise. This proposal was ultimately
rejected, but the word ‘insurance’ was incorporated into Article 4.8 of the Convention.
…
23
Decision 1/CP.16 FCCC/CP/2010/7/Add.1 paras 130-137. Capacity Building is
guided by frameworks established by decisions 2/CP.7 and 3/CP.7. For a list of all
decisions relevant to capacity building, see UNFCCC. Capacity Building:
Documents. [online]
<http://unfccc.int/cooperation_and_support/items/7225.php>.
24
Decision -/CP.19 para 2. See also UNFCCC. Guidelines for National Adaptation
Plans. [online]
<http://unfccc.int/adaptation/workstreams/national_adaptation_programmes_o
f_action/items/7279.php>.
12
‘In 2007 loss and damage re-emerged at COP 13 in Bali with the ‘Bali Action Plan’,
which highlighted the need for enhanced action on adaptation, including “disaster risk
reduction strategies and means to address loss and damage”. The following year the
Alliance of Small Island States proposed the Multi-Window Mechanism to Address Loss
and Damage from Climate Change Impacts, which included risk management,
rehabilitation/compensatory and insurance components.’
Source: Saleemul Huq et al. Commentary: Loss and Damage. Nature Climate Change 3:
947-949. 2013. p. 948.
establishment of a work programme as part of the Cancun Adaptation
Framework.25
Under the work programme, the SBI was tasked with considering three
aspects of the issue:26
1. ‘Assessing the risk of loss and damage associated with the
adverse effects of climate change and current knowledge on the
same;
2. ‘A range of approaches to address loss and damage associated
with the adverse effects of climate change, including impacts
related to extreme weather events and slow onset events;
3. ‘The role of the Convention in enhancing implementation of
approaches to address loss and damage associated with the
adverse effects of climate change.’
The SBI has published a number of technical papers and convened
workshops, expert meetings and consultations with stakeholders and
relevant organisations,27 including a regional expert meeting for Latin
America in Mexico in July 2012.28
At COP18 in Doha, in relation to the third point listed above, the Parties
agreed to establish an institution to address loss and damage at the next
COP.29 Accordingly, at COP19 in Warsaw, the Parties established the
Warsaw Mechanism for Loss and Damage, ‘to address loss and damage
associated with impacts of climate change, including extreme events and
slow onset events, in developing countries that are particularly vulnerable
to the adverse effects of climate change.’30
By establishing this mechanism, the parties have recognised that current
best efforts to mitigate and adapt to climate change will not be sufficient
to avoid or adequately reduce the risk of harm caused by its adverse
impacts. In this sense, loss and damage arguably forms a dimension of the
international climate change regime that is distinct from and separate to
(albeit closely related to) cooperative arrangements for mitigation and
adaptation.
The wording of the decision is very vague and it is unclear whether it
provides scope for compensation or rehabilitation of affected countries,
as many developing countries have long advocated for.31 Nevertheless,
some commentators have argued that the establishment of the
25
Decision 1/CP.16 FCCC/CP/2010/7/Add.1 para 26.
Decision 7/CP.17 FCCC/CP/2011/9/Add.2 paras 1-15. See also UNFCCC,
Thematic Areas – Loss and Damage
http://unfccc.int/adaptation/workstreams/loss_and_damage/items/7546.php
27
See UNFCCC. Documents – Loss and Damage. [online]
<http://unfccc.int/adaptation/workstreams/loss_and_damage/items/6056.php>.
28
See UNFCCC. Expert meeting on a range of approaches to address loss and
damage associated with the adverse effects of climate change, including impacts
related to extreme weather events and slow onset events 23-25 July 2012.
26
13
Mexico City, Mexico [online]
<http://unfccc.int/adaptation/workshops_meetings/items/6952.php>.
29
Decision 3/CP.18 FCCC/CP/2012/8/Add.1.
30
Draft Decision, Warsaw international mechanism for loss and damage
associated with climate change impacts’ Decision -/CP.19 para 9.
31
International Institute for Sustainable Development. Earth Negotiations
Bulletin 12(594) (26 November 2013). p. 28.
mechanism as a new institution (and not simply a taskforce or work
program) is a significant breakthrough in its own right.32
possibility of funding for rehabilitation or compensation and the issue
remains unresolved.
According to the decision at COP19, the Mechanism will have the
following functions:
Developing countries were also unhappy with draft text proposing to
house the Mechanism under the Cancun Adaptation Framework,
concerned that it would mean that loss and damage would not receive
additional and distinct treatment to adaptation.35 Ultimately, the parties
reached a compromise and agreed to establish the Mechanism under the
CAF, but subject to review at COP22.



Enhancing knowledge and understanding of comprehensive
risk management approaches
Strengthening dialogue, coordination, coherence and
synergies among stakeholders
Enhancing action and support, including finance, technology
and capacity-building
Points of tension
The establishment of the Mechanism represents the start of the process
for dealing with Loss and Damage yet many details regarding the way it is
to operate and exactly how it will address loss and damage remain to be
resolved.
At COP19 long-running tensions between developed and developing
countries on the issues of funding and the place of loss and damage under
the UNFCCC threatened to derail the negotiations.33
Developed countries opposed the call of developing countries to establish
a fund for redressing or compensating them for loss and damage suffered
as result of climate change, preferring loss and damage to be about
disaster risk mitigation and management. 34 In the end, the parties
adopted a decision which does not explicitly include or exclude the
32
Sophie Yeo. Loss and damage: UN needs to deliver on Warsaw climate pact. 3
December 2013. Responding to Climate Change (RTCC). [online].
<http://www.rtcc.org/2013/12/02/loss-and-damage-un-needs-to-deliver-onwarsaw-climate-pact/>.
33
International Institute for Sustainable Development, above n 31.
34
Ibid.
14
35
International Institute for Sustainable Development, above n 31, p. 18.
COMMENTARY AND ANALYSIS
Adaptation paradigms
The dominant paradigm to emerge in the international framework is one
of planned, state-driven adaptation.
Text Box 5. Different types of Adaptation
Private adaptation
Public adaptation
Autonomous adaptation
Planned adaptation
Anticipatory adaptation
Reactive adaptation
Source: IPCC (2001), Working Group II. [online].
<http://www.ipcc.ch/ipccreports/tar/wg2/index.php?idp=645>
This is most clearly demonstrated in the move away from short-term,
project-based mechanisms like NAPAs which focus on responding to
urgent and immediate adaptation needs, to mechanisms like the National
Adaptation Plans which have a longer term, more strategic orientation
and seek to integrate adaptation into development policies and programs.
and the vulnerability of different sectors, and launched and evaluated
pilot projects through the NAPAs. The various institutions tasked with
working on different aspects of adaptation – like the Subsidiary Body for
Technical and Scientific Advice, the Subsidiary Body for Implementation
and the Least Developing Countries Expert Group – built up their
expertise, making a record of their experience in reports and other
publications.37
This experience laid the groundwork for more sophisticated and
comprehensive cooperative arrangements. For example, the parties note
that the introduction of the processes for National Adaptation Plans
builds on their experience in preparing and implementing NAPAs.38
In other words, the international framework has itself evolved in response
to and to take account of an ever-evolving understanding of what good
adaptation practices look like.
Text Box 6. NAPAs v NAPs
National Adaptation Programmes of Action
Indeed, the preamble to the COP19 decision on National Adaptation Plans
affirms ‘that best value adaptation is achieved through early and
integrated planning and action at all levels.’36
In some ways, the earlier years of the international regime can be seen as
serving as a time for experimentation: parties developed and trialled
methodologies for observing, modelling and assessing climate impacts
36
Draft Decision, ‘National adaptation plans’ Decision -/CP.19.
15
NAPAs are comprised of a list of priority-ranked adaptation actions
predominantly relating to the agriculture sector, food security, water
resources, coastal zones, and early warning and disaster management.
37
UNFCCC. Adaptation: Publications. [online].
<http://unfccc.int/adaptation/knowledge_resources/publications/items/6997.ph
p>.
38
Decision 1/CP.16, FCCC/CP/2010/7/Add.1, para 15.
Text Box 6. NAPAs v NAPs (cont’d)
For example, Bangladesh’s NAPA contains a list of 15 different projects and
their estimated cost.
The projects are intended to address adverse effects of climate change
including variability and extreme events and range from research on drought,
flood and saline-resistant crops to the construction of floodshelters in major
flood plains,
The 2013 State of Adaptation under the UNFCCC report (see Figure 2)
identifies four steps to the adaptation planning process:
 vulnerability and impact observation and assessment, followed by
 adaptation planning,
 financing and implementation of adaptation measures, and
 monitoring and evaluation of adaptation.39
Government of the People’s Republic of Bangladesh. Ministry of Environment and
People. National Adaptation Programme of Action (November 2005) [online]
<http://unfccc.int/resource/docs/napa/ban01.pdf>.
National Adaptation Plans
On the other hand, NAPs are meant to identify medium- and long-term needs
and serve as a means of developing and implementing strategies and
programmes in response. In this sense they are meant to be more holistic,
systematic and comprehensive than NAPAs.
At this point in time, no NAPs have been submitted to the UNFCCC
secretariat.
UNFCCC. National Adaptation Plans. [online].
<http://unfccc.int/adaptation/workstreams/national_adaptation_plans/items/6057.p
hp>.
Figure 3. Source: Adaptation Committee (2013 p. 10.)
39
Adaptation Committee. State of Adaptation under the UNFCCC Thematic
Report. 2013. p. 9.
16
In contrast to mitigation where a major source of disagreement between
the parties has been the question of whether developing countries
should, like developed countries, be obliged to reduce their emissions and
subject to the same reporting requirements,40 there is general consensus
that cooperative arrangements for adaptation are based on a recognition
of the differences between the parties: developed countries are to assist
vulnerable developing countries meet their adaptation needs. In deciding
to establish the Cancun Adaptation Framework, for example, the parties
agreed that
enhanced action and international cooperation on adaptation is urgently
required to enable and support the implementation of adaptation
actions aimed at reducing vulnerability and building resilience in
developing country Parties, taking into account the urgent and
immediate needs of those developing countries that are particularly
41
vulnerable.
To this end, the international framework for adaptation aims to support
developing countries to successfully undertake activities associated with
each of the steps listed above. This support takes three forms: the
provision of finance, the provision of technological resources and knowhow, and building the capacity of developing countries to participate in
the adaptation process. Cooperative arrangements have largely focused
on how to best harness and coordinate the provision of this support.
40
See Daniel Bodansky. The Copenhagen Climate Change Conference:
A Postmortem The American Journal of International Law 104(2): 230-240, 2013.
p. 232.
41
Decision 1/CP.16 FCCC/CP/2010/7/Add.1 para 11.
17
Text Box 7. Examples of adaptation support
Support for assessment of impacts and vulnerability
Chile received USD 350,000 from the GEF Trust Fund to complete its first
national communication, including to study the likely impacts of climate
change on the country and to propose adaptation measures.42
Financial support
The Adaptation Fund has provided USD 8.5 million to reduce risk and
vulnerability to climate change among farming communities in a region
of Colombia that is prone to flooding.43
The Special Climate Change Fund has provided USD 121.94 million to
non-annex I countries to reduce vulnerability to the adverse impacts of
climate change, increase the adaptive capacity to the impacts of climate
change and to promote transfer and adoption of adaptation
technologies.44
Technological needs and resources
More than 70 non-annex I parties have completed a technology needs
assessment, funded by the Global Environment Fund and with the
technical assistance of the Expert Group on Technology Transfer.45
42
Global Environment Facility. GEF Project 270, Enabling Chile to Fulfill its
Commitments to the UNFCCC. [online]
<http://www.thegef.org/gef/project_detail?projID=270>.
43
Adaptation Fund. Interactive Map of Projects and Programmes. [online]
<https://www.adaptation-fund.org/funded_projects/interactive>.
44
Global Environmental Facility, Progress Report on the Least Developed
Countries Fund and the Special Climate Change Fund GEF/LDCF.SCCF.15/03
(October 2013), p. 8.
45
UNFCCC. Technology Transfer Framework [online].
<http://unfccc.int/ttclear/templates/render_cms_page?TTF_home>.
Challenges
Despite the consensus that developed countries should support
adaptation in developing countries, efforts to achieve this have faltered
due to a number of challenges.
I Inadequate levels of funding
A persistent problem has been the inadequacy of funding.46 COP decisions
repeatedly ‘call on’, ‘urge’ and ‘encourage’ developed countries to deliver
on their funding commitments and support the various work programs on
adaptation but funds continue to fall short. Many NAPAs and NAPs
remain unimplemented due to a lack of available funds.47
Developed party countries have committed to mobilise long-term climate
finance for mitigation and adaptation of USD 100 billion per year by
2020.48 This funding can be sourced from the private sector as well as the
public. Nevertheless, the COP at Warsaw in 2013 decided ‘to channel a
substantial share of public climate funds to adaptation activities
(emphasis added).’ 49 Developed countries also agreed to prepare
statements every two years explaining what they are doing to achieve the
2020 goal.50
II Proliferation of institutions
The evolution of the international regime has also been characterised by a
growth in the number of institutions involved in various aspects of
adaptation. These institutions have various and sometimes overlapping
roles, from coordinating efforts to support from developed countries, to
providing funding, conducting research and sharing information between
different stakeholder groups (see Appendix 3).
Maintaining coherence and avoiding inefficient duplication among the
institutions is a challenge. One of the tasks of the newly established
Adaptation Committee is to enhance coherence of adaptation activities
under the Convention.51
At least five different institutions are involved in financing adaptation.
These institutions have been established for different purposes and some
only fund specific adaptation actions. According to Verschuuren, the
plethora of funds and financing bodies creates a ‘clear risk of overlap and
inefficiency.’52 Parties have recognised that this is an area in need of
rationalisation as developing parties have found it difficult to access
finance.53 A Standing Committee on Finance has been established to
assist the parties improve the coherence and coordination of climate
financing.
46
Adaptation Committee, above n 46, p. 23.
Jonathan Verschuuren. Climate change adaptation under the United Nations
Framework Convention on Climate Change and related documents. In: J.
Verschuuren (ed) Research handbook on climate change adaptation law.
Cheltenham. Edgar Elgar. 2013. p. 27.
48
Decision 1/CP.16 FCCC/CP/2010/7/Add.1, para 98.
49
‘Draft– work programme on long term finance’ Decision -/CP.19 para 8.
50
Ibid.
47
18
51
Adaptation Committee, n 46, p. 18.
Verschuuren, n 47, p. 27. See also Mizan R. Khan and J. Timmons Roberts.
Adaptation and international climate policy WIREs Climate Change. 4: 171-189.
2013. pp. 179-182.
53
Adaptation Committee, n 46, p. 24.
52
III Dispute over the scope of adaptation
Finally, in establishing the Warsaw Mechanism for Loss and Damage
parties have had to consider the scope of adaptation under the UNFCCC.
As noted above, while many developed countries have submitted that
measures relating to loss and damage should be seen on a continuum
with adaptation, vulnerable, developing countries have been adamant
that they are a separate issue, worthy of discrete attention, treatment
and, of course, funding.
The issue of how to deal with people displaced by climate change54 has
received some attention, but has by no means resolved.
OUTLOOK TO 2015
Parties are currently in negotiations to develop an internationally binding
‘protocol, legal instrument or other outcome with legal force’ by 2015,
which would take effect by 2020 (referred to in this document as ´the
2015 agreement’), in accordance with the Durban Platform for Enhanced
Action.55
The Ad Hoc Working Group on the Durban Platform for Enhanced Action
(ADP) is considering a number of matters for inclusion in the 2015
agreement, including adaptation.56
In June 2013, parties participated in a workshop to consider the ways in
which adaptation could be enhanced through the 2015 agreement.57
The following points were raised by various participants:

54
For example in Paragraph 14(f) of the CAF the parties are invited to take
‘measures to enhance understanding, coordination and cooperation with regard
to climate change induced displacement, migration and planned relocation,
where appropriate, at the national, regional and international levels.’ For a
summary of the way in which the issue of climate induced displacement and
migration has been dealt with, refer to Koko Warner. Climate Change Induced
Displacement: Adaptation policy in the context of the UNFCCC climate
negotiations. UNHCR (2011) PPLA/2011/02 [online]
<http://www.unhcr.org/4df9cc309.html>.
19
55
The 2015 agreement should
reflect a better
understanding of the
relationship between
adaptation and mitigation
efforts (for example,


There is a need to reform
funding arrangements to
enhance their
predictability, adequacy
and accessibility.
A platform should be
Decision 1/CP.17 FCCC/CP/2011/9/Add.1.
Other areas that the ADP is working on include mitigation, finance, technology
development and transfer, capacity-building and transparency of action and
support: Decision 1/CP.17 FCCC/CP/2011/9/Add.1 para 5.
57
UNFCCC. Ad Hoc Working Group on the Durban Platform for Enhanced Action
(ADP), Summary report on the workshop on enhancing adaptation through the
2015 agreement ADP 2, part 2 Bonn, Germany, 6 June 2013. Note by the
facilitator. [online]
<http://unfccc.int/resource/docs/2013/adp2/eng/11infsum.pdf>.
56


Stronger mitigation now
will reduce the costs of
adaptation in the future).
An adaptation goal could be
set that is linked to the
global temperature goal.
Tools to monitor and assess
progress towards achieving
adaptation goals should be
developed.

assistance: specific mechanisms 
to implement financing,
capacity-building and resourcing
commitments; assist non-least
developing countries (non-LDCs)
implement their adaptation
plans.
developed to enable better
sharing of experiences and
best practice adaptation
measures.
The 2015 agreement could
consider how to engage of
local and sub-national
governments, including
cities and urban areas.

Chile’s submissions to the UNFCCC
Chile participates in the international negotiations through La Alianza
Independiente de América Latina y el Caribe (AILAC).58AILAC have made
a number of submissions particularly concerned with the inclusion of
obligations related to adaptation. Their most recent submission
(September 2013) contains the following proposals59:


Equal recognition of
adaptation: adaptation should
be given the same level of
recognition as mitigation.
Implementation support and

Assessment methodology:
more specific guidance on
how to assess impacts,
vulnerability, exposure,
options and actions.
Compulsory adaptation
planning: all parties, not just

developing party countries
should have to create a National
Adaptation Plan.
Information: the National
Communications submitted
by parties to the UNFCCC
secretariat should include
climate change impacts
faced by parties, their
adaptation responses and
what assistance they need.
Better funding sources:
adaptation funding cannot
be derived solely from the
volatile carbon market.60
At the COP19 in Warsaw (November 2013), the Parties decided to request
the ADP to further elaborate on the components of the agreement,
including adaptation. Notably, the Parties recognised the link between
mitigation and adaptation, ‘intensifying…the technical examination of
opportunities for actions with high mitigation potential, including those
with adaptation…co-benefits.’61
Parties must have a draft text of the 2015 agreement ready by the end of
May 2015. This means that the COP in Peru in December 2014 will be the
Parties’ final opportunity to resolve fundamental issues about how to
treat the issue of adaptation.
58
Other members of the alliance are Colombia, Costa Rica, Guatemala, Panamá
and Peru. Submissions from other parties are available on the UNFCCC website
<http://unfccc.int/bodies/awg/items/7398.php>.
59
AILAC, Durban Platform for Enhanced Action (ADP) Workstream1 .Submission
by AILAC [online] <
http://unfccc.int/files/documentation/submissions_from_parties/adp/applicatio
n/pdf/adp_ailac_workstream1_20130830.pdf>.
20
60
The Adaptation Fund is funded in part by a percentage of profits from projects
under the Clean Development Mechanism (see below p. 34).
61
Draft Decision, ‘Further Advancing the Durban Platform’, Decision -/CP.19, para
5(a).
APPENDIX 1.REFERENCES TO KEY CONCEPTS OF ADAPTATION
Fundamental concepts of ‘vulnerability’, ‘resilience’ and ‘adaptive capacity’ are referred to in different ways in the text of the UNFCCC and in various
decisions of the COP.
Vulnerability
Of all the concepts, vulnerability is the concept that has been recognised the longest. One way it is referred to is as a characteristic that
makes countries eligible for assistance, for example:
 The UNFCCC refers to vulnerability in two relevant articles:
o Art 3.2, that there is a need to especially consider the needs of developing countries particularly to vulnerable to
climate change, and
o Art 4.4, that developed countries have an obligation to assist vulnerable, developing countries adapt to the adverse
impacts of climate change by providing them with financial resources.

The parties established the Warsaw international mechanism for loss and damage ‘to address loss and damage associated
with impacts of climate change, including extreme events and slow onset events, in developing countries that are particularly
vulnerable to the adverse effects of climate change’ (Decision -/CP.19).
Vulnerability is also referred to as a characteristic that must be assessed and understood as part of the adaptation process. For example:
 The Nairobi Work Program on Impacts, Vulnerability and Adaptation (2005)is designed to implement UNFCCC articles relating
to the sharing of knowledge and information about climate change impacts to assist Parties to improve their understanding and
assessment of impacts, vulnerability and adaptation.
21

The Cancun Adaptation Framework refers to vulnerability reduction as an aim of adaptation efforts.
o ‘Enhanced action and international cooperation on adaptation is urgently required to enable and support the
implementation of adaptation actions aimed at reducing vulnerability and building resilience in all countries.’
o All parties invited to strengthen ‘institutional capacities and enabling environments for adaptation, including for
climate-resilient development and vulnerability reduction;’

The National Adaptation Plans - Technical Guidelines (2012) uses the definition from the IPCC AR4 (2007).
Resilience
Resilience is referred to in a narrow way in the UNFCCC as a feature of a well-adapted ecosystem:
 Article 1.1: "Adverse effects of climate change" means changes in the physical environment or biota resulting from climate
change which have significant deleterious effects on the composition, resilience or productivity of natural and managed
ecosystems or on the operation of socio-economic systems or on human health and welfare.
On the other hand, the Cancun Adaptation Framework (2010)refers to resilience as an aim or component of adaptation:
o ‘Enhanced action and international cooperation on adaptation is urgently required to enable and support the
implementation of adaptation actions aimed at reducing vulnerability and building resilience in all countries.’
o
All parties are invited to ‘strengthen[…] institutional capacities and enabling environments for adaptation, including for
climate-resilient development and vulnerability reduction;’ and ‘build[…] resilience of socio‑economic and ecological
systems, including through economic diversification and sustainable management of natural resources’.
In the context of the National Adaptation Plans, building resilience is a way of reducing vulnerability to the impacts of climate change
 National Adaptation Plans (2011)
o The objectives of the NAP process are (a) To reduce vulnerability to the impacts of climate change, by building adaptive
capacity and resilience (Decision 5/CP.17, paragraph 1)
 National Adaptation Plans - Technical Guidelines (2012) uses the definition from the IPCC AR4 (2007).
There are few references to adaptive capacity in the texts of the UNFCCC. The references that do exist are primarily in the context of
National Adaptation Plans where increasing adaptive capacity is understood as a means of reducing vulnerability.
 National Adaptation Plans One of the objectives of the NAP process is (Decision 5/CP.17, paragraph 1) ‘to reduce vulnerability
to the impacts of climate change, by building adaptive capacity and resilience.’
Adaptive
capacity

National Adaptation Plans - Technical Guidelines (2012) uses the definition of adaptive capacity from the IPCC AR4 (2007).

Loss and Damage: The 2012 COP decision to establish a mechanism to address loss and damage at the next COP refers to
adaptive capacity as a goal of the mechanism.62
Note that subsequent decisions on the Mechanism for Loss and Damage do not refer to adaptive capacity.
62
Decision 3/CP.18 FCCC/CP/2012/8/Add.1.
22
APPENDIX 2.TIMELINE OF MILESTONES
Year
1992
Milestone
United Nations Framework
Convention on Climate
Change (UNFCCC)63
Details
Most articles refer and apply to both mitigation and adaptation objectives. They are phrased broadly.
Specific adaptation commitments relate to:
 Formulating and implementing adaptation measures(article 4.1(b))
 Cooperating in preparing for adaptation to the impacts of climate change (article 4.1(e)).
 Promoting and cooperating in research and systematic observation of the climate system and climate
impacts (articles 4.1(g) and 5).
 Supporting in particular least developed and most vulnerable countries with funding, technology and by
building their capacity (articles 4.4, 4.5, 4.7, 4.8 and 4.9).
 Educating and promoting public access to information and participation in matters related to climate
change (articles 4.1(i) and 6).
 Communicating information about climate impacts, domestic programs and progress towards meeting
Convention commitments (articles 4.1(b), 4.1(h), 4.1(j) and 12).
See Appendix 3 for extracts from the Convention text.
1997
Kyoto Protocol64
The Kyoto Protocol is principally concerned with mitigation, imposing binding emissions reduction obligations to be
met during the applicable commitment period. Not all Parties to the UNFCCC have ratified the Kyoto Protocol.
The Kyoto Protocol includes some articles which relate to adaptation, but these mainly reiterate and support the
existing commitments under the UNFCCC in regard to providing finance, know-how and technologies.
See Appendix 4 for extracts from the UNFCCC.
In regard to financing, the Kyoto Protocol establishes the Clean Development Mechanism and provides that a share
of the proceeds from CDM projects is to be used to assist developing country Parties that are particularly vulnerable
to the adverse effects of climate change to meet the costs of adaptation via the Adaptation Fund (article 12.8).
63
64
United Nations Framework Convention on Climate Change (New York) 9 May 1992, in force 24 March 1994; 1771 UNTS 107.
Kyoto Protocol to the United Nations Framework Convention on Climate Change, UN Doc FCCC/CP/1997/7/Add.1, Dec. 10, 1997; 37 ILM 22 (1998).
23
The Doha Amendment provides that the Adaptation Fund will also be financed from two percent of the proceeds
from projects under the other Kyoto flexibility mechanisms (emissions trading and joint implementation).65
2001
COP 7 Marrakesh Accords Least Developed Countries
(LDC) Work Programme66
The first major development occurred in relation to implementing Articles 4.8 and 4.9 of the UNFCCC to support
least developed countries (LDC).
The LDC Work Programme established at COP7 contains the following elements:
 Introduction of National Adaptation Programmes of Action (NAPAs) to be used by LDCs to identify and
report their adaptation needs and to makes proposals on how to address them.
o Priority sectors included in NAPAs are agriculture and food security, water resources, coastal zones,
and early warning and disaster management.67
 Establishment of the LDC Expert Group (LEG) to provide advice on the preparation of NAPAs and facilitate
sharing of information.
 Establishment of the LDC Fund (LDCF) to fund the preparation and implementation of NAPAs.
Activities under the Least Developed Countries work programme and LEG continue today. Fifty countries have so far
submitted NAPAs to the UNFCCC secretariat.68
The Marrakesh Accords also set up Adaptation Fund to implement article 12.8 of the Kyoto Protocol. Two percent
of the proceeds from CDM projects are to go to this fund support adaptation in developing countries.
65
Decision 1/CMP.8 FCCC/KP/CMP/2012/13/Add.1 paras 20-21.
Decision 5/CP.7 FCCC/CP/2001/13/Add.1 especially paras 11-17.
67
UNFCCC. Background on NAPAs. [online] <http://unfccc.int/adaptation/workstreams/national_adaptation_programmes_of_action/items/7572.php>.
68
UNFCCC, NAPAs received by the secretariat. [online] http://unfccc.int/adaptation/workstreams/national_adaptation_programmes_of_action/items/4585.php [accessed
22/01/2014].
66
24
2004
COP 10 Buenos Aires
Programme of Work on
Adaptation and Response
Measures69
At this COP the parties sought to further develop the LDC Work Programme established at COP7 in regard to
improving methodologies and country capacity to collect and analyse data about climate change impacts and assess
vulnerabilities.
Developing party countries were invited to make use of the NAPA processes and developed countries were
requested to provide assistance to them.
The UNFCCC body, the Subsidiary Body for Scientific and Technological Advice (SBSTA), was tasked with developing
a five-year research program on the scientific, technical and socio-economic aspects of impacts, vulnerability and
adaptation to climate change.70
2005
COP 11 Nairobi Work
Programme on Impacts,
Vulnerability and
Adaptation to Climate
Change
At COP 11 the COP approved the commencement of the SBSTA’s proposed five-year work programme.71
In 2006 the Buenos Aires Programme of Work was renamed the Nairobi Work Programme (NWP).72
The SBSTA assists all parties, but in particular developing countries and small island developing states to:
 improve their understanding of and ability to assess of climate change impacts, their vulnerability and their
plans, measures and actions taken to adapt to climate change; and
 help them make informed adaptation decisions ‘on a sound scientific, technical and socio-economic basis,
taking into account current and future climate change and variability.’73
The SBSTA aims to encourage the development of tools and methodologies, share relevant information and
knowledge74 and coordinate cooperation between parties and a diverse range of ‘partners’ which include private
69
Decision 1/CP.10 FCCC/CP/2004/10/Add. 1.
Ibid. paras 23-26.
71
Decision 2/CP.11 FCCC/CP/2005/5/Add.1.
72
SBSTA 25 report FCCC/SBSTA/2006/11 paras 11-71. UNFCCC. Nairobi Work Program. [online].
<http://unfccc.int/adaptation/workstreams/nairobi_work_programme/items/3633.php>.
73
Ibid. Annex para 1 and SBSTA 25 report FCCC/SBSTA/2006/11 paras 11-71.
74
Decision 2/CP.11 FCCC/CP/2005/5/Add.1. Annex. paras 3-5.
70
25
organisations such as insurance firms, universities, non-governmental organizations, through fora like the Private
Sector Initiative.75
It commenced by organizing its work around nine areas: methods and tools; data and observations; climate
modelling, scenarios and downscaling; climate related risks and extreme events; socio-economic information;
adaptation planning and practices; research; technologies for adaptation and economic diversification.76
As the international adaptation regime has evolved, the COP has asked the NWP to complete specific tasks such as
to bring its programme in line with the Cancun Adaptation Framework, hold workshops on climate change impacts
and water and ecosystem-based approaches for adaptation, and to consider case studies on national adaptation
planning.77
At COP 19 in 2013 the parties decided that work under the Nairobi Work Program should continue (see COP 19
below).78
2007
Bali Roadmap and Action
Plan79
The Bali Action Plan set up a process for negotiating an agreement to give full effect to the Convention up to 2012
and beyond. All parties to the Convention were involved in its creation.
The Bali Action Plan is divided into five main categories: shared vision, mitigation, adaptation, technology and
financing.
In terms of enhancing long-term cooperative action on adaptation, the Plan specifies that parties shall work towards
enhancing:


75
Support for the urgent implementation of adaptation actions, with a particular focus on the needs of small
island developing states and African countries affected by drought, desertification and floods;
Consideration of disaster risk reduction strategies and means to address loss and damage associated with
UNFCCC. NWP partner organizations. [online]. <https://www3.unfccc.int/pls/apex/f?p=333:20:2125832944164533>.
UNFCCC. Impacts, vulnerabilities and adaptation in developing countries. 2007. p. 30.
77
Decision 6/CP.11 FCCC/CP/2011/9/Add.2 .
78
Draft Decision ‘Nairobi Work Programme on impacts, vulnerability and adaptation to climate change’ Decision -/CP.19.
79
Decision 1/CP.13 FCCC/CP/2007/6/Add.1.
76
26


2009
2010
COP 15 Copenhagen Accord
Fast-Start Finance80
COP 16 Cancun Adaptation
Framework81
climate change impacts in vulnerable, developing countries;
the accessibility and quality of financial and technical support (‘adequate, predictable and sustainable’) and
for the assessment and determination of financial needs of developing countries;
Improving technology development and transfer.
Parties agreed to provide USD 30 billion for the period 2010-2012 for mitigation and adaptation.
Following the negotiating path created by the Bali Roadmap in 2007, the most significant step in implementing the
adaptation goals of the UNFCCC and Kyoto Protocol was taken at COP16 where parties adopted the Cancun
Agreements.
In the agreement, Parties affirmed that adaptation is to be given the same level of priority as mitigation. The
Cancun Agreements establish the Cancun Adaptation Framework (CAF) to enhance action on adaptation.
The CAF is comprised of a number of components:
1. Implementation:
 all parties to plan and implement adaptation actions, undertake impact, vulnerability, adaptation
and needs assessments
 enhance climate change related disaster risk reduction strategies
 take measures to enhance understanding and cooperation with regard to climate change induced
displacement, migration and planned relocation – at national, regional and international levels.
 Establishment of a process to enable LDC parties to develop and implement national adaptation
plans (which have longer-term focus than NAPAs)
 Establishment of a work program to consider ways of dealing with loss and damage resulting from
climate change impacts in vulnerable developing countries.
2. Support:
 developed country Parties to provide developing country Parties with long-term, scaled up,
predictable new and additional finance, technology and capacity building for the purposes of
80
81
Decision 2/CP.15 FCCC/CP/2009/11/Add.1 paras 3, 8.
Decision 1/CP.16 FCCC/CP/2010/7/Add.1, Sections II and IV. See above pp 11-12.
27
implementing adaptation actions, plans and projects.
o USD 100 billion per year by 2020.
3. Institutions:
 establishment of the Adaptation Committee to coordinate implementation of the CAF and
adaptation more generally under the UNFCCC;
 strengthen and establish regional centres and networks and national institutional arrangements.
4. Principles:
 follow the UNFCCC principles
 be country-driven, gender-sensitive and adopt participatory and fully transparent approach,
taking into consideration vulnerable groups, communities and ecosystems;
 be guided by the best available science and, as appropriate, traditional and indigenous knowledge;
and
 integrate adaptation into relevant social, economic and environmental policies and actions.
5. Stakeholder engagement: involve other organizations, public and private sectors and civil society to
support adaptation at all levels.
2011
COP 17 Durban
82
Parties made progress on implementing the CAF, including further defining the role of the Adaptation Committee82
and adopted initial, technical guidelines on the contents and processes for development of National Adaptation
Plans.83
 Objectives – to reduce vulnerability by improving adaptive capacity and resilience; integration of
adaptation into relevant new and existing policies and programs.
 Adaptation planning as a continuous and iterative process
 Approach – affirmed CAF principles, above – and stressed the importance of country-owned and countrydriven action (‘bottom up’ rather than ‘top down’, prescriptive processes)
 Adopted initial guidelines84 and set up a process for developing NAP guidelines.
Decision 2 /CP.17 FCCC/CP/2011/9/Add. 1 section III.
Decision 5/CP.17 FCCC/CP/2011/9/Add. 1 para 6.
84
Decision 5/CP.17 FCCC/CP/2011/9/Add.1. Annex.
83
28
The COP urged Parties to commit more funding to help LDC parties develop national adaptation plans and
encouraged other developing countries to develop adaptation plans.
The COP also invited Parties to undertake reporting, monitoring and evaluation of the support they have provided
or measures they have undertaken under the national adaptation planning process.
2012
COP 18 Doha
At COP18 the COP decided that various Convention bodies should continue their work on adaptation ‘with a focus
on improving the coherence of the action of and the support provided to, developing country Parties, the
engagement and role of regional centres and networks, and the promotion of livelihood and economic
diversification to build resilience in the context of planning, prioritizing and implementing adaptation actions’.85
Establishment of an annual adaptation forum to be run at the same time as the Conference of the Parties to
‘maintain a high profile for adaptation under the Convention, to raise awareness and ambition with regard to
adaptation actions and to facilitate enhanced coherence of adaptation actions.’
Under the Doha Gateway for Loss and Damage86 the parties agreed that responses are needed to address loss
and damage associated with the adverse effects of climate change and decided to establish a mechanism at
COP19 to support particularly vulnerable, developing countries. The parties also identified some of the areas of
research to improve expertise on loss and damage.
Accepted the work program of the Ad hoc Working Group on the Durban Platform for Enhanced Action (ADP)87:
85

Workstream 1 – To take the steps necessary to negotiate a global climate change agreement that will be
adopted by 2015 and enter into force from 2020. Discussions about how to include adaptation obligations
in the 2015 agreement to take place in this workstream.

Workstream 2 – To agree how to raise global ambition before 2020 to accelerate the response to climate
change.
Decision 1/CP.18 FCCC/CP/2012/8/Add.1.
Decision 3/CP.18 FCCC/CP/2012/8/Add.1.
87
Decision 2/CP.18 FCCC/CP/2012/8/Add.1. See also COP17 decision to establish the ADP: Decision 1/CP.17 FCCC/CP/2011/9/Add.1.
86
29
2013
COP 19 Warsaw
The parties established the Warsaw International Mechanism for Loss and Damage (see above pp 12-14).
The parties also accepted technical guidelines for National Adaptation Plans developed by the Least Developing
Countries Expert Group.88
In regard to climate finance, the COP requested developed countries to report biannually on their efforts to scale
up finance contributions to meet the goal of raising USD 100 billion per year by 2020.89
The parties decided to continue the Nairobi Work Program with an additional focus on ecosystems, human
settlements, water resources and health and to enhance the outputs of the program including by establishing
better links with other relevant workstreams and bodies like the Adaptation Committee.90
88
UNFCCC. Guidelines for National Adaptation Plans (NAPs). 2012. [online].
<http://unfccc.int/adaptation/workstreams/national_adaptation_programmes_of_action/items/7279.php>.
89
Draft Decision ‘Work programme on long term finance’ Decision -/CP.19 para 10.
90
Draft Decision ‘Nairobi Work Programme on impacts, vulnerability and adaptation to climate change’ Decision -/CP.19 paras 2-5.
30
APPENDIX 3.GOVERNANCE ARRANGEMENTS
Institution
Details
Relevant responsibilities
COORDINATING INSTITUTIONS
Adaptation
Committee
Principal coordinating body for matters related to adaptation
Established at COP16 under the Cancun
Adaptation Framework.
16 members representing each of the five
UN regional groups including:
 one from a small island developing
country
 one from a least developed country
 two Annex I parties
 two non-Annex I parties91
LDC Expert Group
(LEG)
Established at COP 7 in Marrakech (2001)
12 experts:
 five from African LDC Parties
 two from Asian LDC Parties
 two from small island LDC Parties
 three from Annex II Parties
91
92




Provides technical support and guidance to facilitate the implementation of adaptation
activities
Improves the sharing of information, knowledge, experience and good adaptation
practices
Promotes and strengthening collaboration and engagement with different
organizations to improve implementation of adaptation actions
Considers information provided by Parties about their monitoring and review of
adaptation actions, support provided and received
It conducts this work via conveningworkshops and meetings; expert groups; compiling,
reviewing, synthesising and analysising information, knowledge, experience and good practice;
coordinating and creating linkages with all relevant bodies, programmes, institutions.
Established ‘to provide technical support and advice to the least developed countries (LDCs) on
the national adaptation programmes of action (NAPAs) and the LDC work programme, and to
provide technical guidance and support to the national adaptation plan (NAP) process.’
It ‘supports LDCs through a variety of modalities that include training workshops, development
of guides, tools, technical papers, publications and databases, and by reviewing draft NAPAs
upon request or providing direct advice.’92
Decision 2 /CP.17. FCCC/CP/2011/9/Add. 1. section III.
UNFCCC. LDC Expert Group (LEG). [online]. <http://unfccc.int/adaptation/groups_committees/ldc_expert_group/items/4727.php>.
31
Consultative Group
of Experts
Established at COP 5 (1999)93
24 members:
 5 from each of Africa, Asia and the
Pacific, and Latin America and the
Caribbean
 5 from Annex I parties
 3 from international organisations
93
This groups assists non-Annex I parties like Chile prepare their national communications (which
include matters like projected impacts of climate change, vulnerabilities etc, see pp. 9-10).
Chile has benefited from the support of the CGE.94
Decision 8/CP.5 FCCC/CP/1999/6/Add.1.
Submission by Chile. Views of term and mandate of the Consultative Group of Experts and the need for continuation
of the group. [online] <http://unfccc.int/files/documentation/submissions_from_parties/application/pdf/chile_cge.pdf>.
94
32
RESEARCH AND SUPPORT INSTITUTIONS
Subsidiary Body for
Scientific and
Technological
Advice (SBSTA)
Subsidiary Body for
Implementation
(SBI)
Technology
Mechanism
95
Permanent institution under the
UNFCCC
Implements Nairobi Work Program on impacts, vulnerability and adaptation to climate change (above).
Promotes collaboration in the research and systematic observation of the climate system.
Not solely concerned with
adaptation
Permanent institution under the
UNFCCC
Not solely concerned with
adaptation
Established at COP16 in Cancun in
201096
Not solely concerned with
adaptation
In charge of the work programme on loss and damage to considering approaches to address loss and
damage.95
Working with new, specialist bodies, like the Adaptation Committee, to facilitate implementation of
adaptation-related obligations under the UNFCCC.
‘To facilitate the implementation of enhanced action on technology development and transfer to
support action on mitigation and adaptation in order to achieve the full implementation of the
Convention.’97
Consists of the Technology Executive Committee and the Climate Technology Centre and Network.
Decision 7/CP.17 FCCC/CP/2011/9/Add.2 paras 1-15. See also UNFCCC. Thematic Areas – Loss and Damage [online]
<http://unfccc.int/adaptation/workstreams/loss_and_damage/items/7546.php>.
96
Decision 1/CP.16 FCCC/CP/2010/7/Add.1 para 117.
97
UNFCCC. Technology Mechanism. [online] <http://unfccc.int/ttclear/templates/render_cms_page?TEM_home>.
33
FUNDING INSTITUTIONS
Establishment and legal
mandate
Name
Established at COP7 in
Marrakech, but commenced
operations in 2005.
Adaptation Fund
Exists under the Kyoto
Protocol.
Role
Adaptation Fund Board (AFB) operates the Fund. Its role is under
review.
As yet, no projects have been
funded.
It is funded by a portion of the funds generated under the CDM (2 per
cent of the proceeds from the sale of Certified Emission Reduction
units, or CERs, issued for a CDM project), as well as individual donations
by countries.
Chile’s application for US10 million
for a project to enhance resilience
to climate change of small-scale
agriculture in the Chilean region of
O’Higgins is currently being
assessed.99
The parties to the Kyoto Protocol have noted problems related to the
sustainability, adequacy and predictability of funding from the
Adaptation Fund due to the decline in the price of CERs and uncertainty
around the operation of the fund after the conclusion of the second
commitment period in 2020.98
In charge of operating the GEF Trust Fund, LDCF and SCCF.
General fund.
Global
Environment
Facility
98
Established under Article 11 of
the UNFCCC
Projects funded in Chile
Nine national projects have been
funded. Most of these relate to
mitigation.
Two projects are relevant but not
specific to adaptation:
(1) assessing technology transfer
needs100
(2) assistance in preparing national
Decision 3/CMP.8 FCCC/KP/CMP/2012/L.8.
Global Environment Facility. GEF Project 1321, Climate Change Enabling Activity (Additional Financing for Capacity Building in Priority Areas [online].
<http://www.thegef.org/gef/project_detail?projID=1321>.
100
Global Environment Facility. GEF Project 270, Enabling Chile to Fulfill its Commitments to the UNFCCC. [online] <http://www.thegef.org/gef/project_detail?projID=270>.
99
34
communications, including analysis
potential impacts of climate
change and developing response
measures.
Least Developed
Countries Fund
(LDCF)
Special Climate
Change Fund
(SCCF)
Established under the Nairobi
Work Program (2006).
Standing
Committee on
Finance
101
N/A
Operated by the GEF.
General fund.
Operated by the GEF.
General fund.
Green Climate
Fund
Responsible for financing projects in the least developed countries,
particularly projects related to their NAPAs.
Established under Article 11 of
the UNFCCC102
Established at COP16 in Cancun
in 2010
Review body
Established at COP16 in Cancun
in 2010
Responsible for financing activities, programmes and measures relating
to climate change including adaptation (the others are technology
transfer, capacity building, energy, transport, industry, agriculture,
forestry, waste management, and activities that assist developing
countries diversify their economies).
Long-term finance (USD 1 billion/year from 2020) and other new,
additional finance to be chanelled through the Green Climate Fund.
These funds are to be split between adaptation and mitigation
measures.
This committee was established to review the financial institutions and
advise the COP on how they can be rationalised so as to improve the
coordination and distribution of funding.
No projects funded.101
N/A
Expected to commence operations
at the end of 2014
N/A
Global Environment Facility. Progress Report on the Least Developed Countries Fund and the Special Climate Fund (2013) GEF/LDCF.SCCF.15/03, p. 14. [online].
<http://www.thegef.org/gef/sites/thegef.org/files/GEF-LDCF.SCCF_.1503%2C%20Progress%20Report%20on%20the%20LDCF%20and%20the%20SCCF%2C%20DRAFT%206%2C%202013-10-06_0.pdf>.
102
Decision 3/CP.17 FCCC/CP/2011/9/Add.1,
35
Figure 4. Source: Adaptation Committee (2013) p. 7.
36
APPENDIX 4. EXTRACTS FROM THE CONVENTION AND KYOTO PROTOCOL
United Nations Framework Convention on Climate Change
Key Commitments or obligations of
all parties
Commitments or obligations of
developed country parties
Governance
arrangements
Other
Article Adaptation-related obligation
Text in English
Texto español
Art 2
The objective of the Convention
links adaptation to mitigation
The ultimate objective of this Convention and any
related legal instruments that the
Conference of the Parties may adopt is to
achieve…stabilization of greenhouse gas concentrations
in the atmosphere at a level that would prevent
dangerous anthropogenic interference with the climate
system. Such a level should be achieved within a time
frame sufficient to allow ecosystems to adapt naturally
to climate change, to ensure that food production is not
threatened and to enable economic
development to proceed in a sustainable manner
Art 3.1
Principle of common but
differentiated responsibilities to
guide implementation of
obligations of all parties
The Parties should protect the climate system for the
benefit of present and future generations of
humankind, on thebasis of equity and in accordance
with their common butdifferentiated responsibilities
and respective capabilities. Accordingly, the developed
country Parties should take the lead in combating
climate change and the adverse effects thereof.
Art 3.4
Principle of sustainable
development to guide
implementation of obligations of
all parties
The Parties have a right to, and should, promote
sustainable development. Policies and measures to
protect the climate system against human-induced
change should be appropriate for the specific
conditions of each Party and should be integrated with
national development programmes, taking into account
that economic development is essential for adopting
measures to address climate change.
El objetivo último de la presente Convención y de todo
instrumento jurídico conexo que adopte la Conferencia
de las Partes, es lograr… la estabilización de las
concentraciones de gases de efecto invernadero en la
atmósfera a un nivel que impida interferencias
antropógenas peligrosas en el sistema climático. Ese
nivel debería lograrse en un plazo suficiente para
permitir que los ecosistemas se adapten
naturalmente al cambio climático, asegurar que la
producción de alimentos no se vea amenazada y
permitir que el desarrollo económico prosiga de manera
sostenible.
Las Partes deberían proteger el sistema climático en
beneficio de las generaciones presentes y futuras, sobre
la base de la equidad y de conformidad con sus
responsabilidades comunes pero diferenciadas y sus
respectivas capacidades. En consecuencia, las Partes que
son países desarrollados deberían tomar la iniciativa en
lo que respecta a combatir el cambio climático y sus
efectos adversos.
Las Partes tienen derecho al desarrollo sostenible y
deberían promoverlo. Las políticas y medidas para
proteger el sistema climático contra el cambio inducido
por el ser humano deberían ser apropiadas para las
condiciones específicas de cada una de las Partes y estar
integradas en los programas nacionales de desarrollo,
teniendo en cuenta que el crecimiento económico es
esencial para la adopción de medidas encaminadas a
37
hacer frente al cambio climático.
Art
4.1(b)
All Parties to develop, implement
and report on adaptation
measures
Formulate, implement, publish and regularly update
national and, where appropriate, regional programmes
containing measures to mitigate climate change by
addressing anthropogenic emissions by sources and
removals by sinks of all greenhouse gases not
controlled by the Montreal Protocol, and measures to
facilitate adequate adaptation to climate change;
Art
4.1(e)
All Parties to cooperate in
preparing for adaptation to the
impacts of climate change and
develop plans regarding certain
sectors
Cooperate in preparing for adaptation to the impacts of
climate change; develop and elaborate appropriate and
integrated plans for coastal zone management, water
resources and agriculture, and for the protection and
rehabilitation of areas, particularly in Africa, affected by
drought and desertification, as well as floods.
Art
4.1(f)
All Parties to consider the impacts
of adaptation measures on the
economy, public health and
environment
Take climate change considerations into account, to the
extent feasible, in their relevant social, economic and
environmental policies and actions, and employ
appropriate methods, for example impact assessments,
formulated and determined nationally, with a view to
minimizing adverse effects on the economy, on public
health and on the quality of the environment, of
projects or measures undertaken by them to mitigate
or adapt to climate change.
38
Formular, aplicar, publicar y actualizar regularmente
programas nacionales y, según proceda, regionales, que
contengan medidas orientadas a mitigar el cambio
climático, teniendo en cuenta las emisiones
antropógenas por las fuentes y la absorción por los
sumideros de todos los gases de efecto invernadero no
controlados por el Protocolo de Montreal, y medidas
para facilitar la adaptación adecuada al cambio
climático;
Cooperar en los preparativos para la adaptación a
los impactos del cambio climático; desarrollar y
elaborar planes apropiados e integrados para la
gestión de las zonas costeras, los recursos hídricos
y la agricultura, y para la protección y
rehabilitación de las zonas, particularmente de
Africa, afectadas por la sequía y la desertificación, así
como por las inundaciones.
Tener en cuenta, en la medida de lo posible, las
consideraciones relativas al cambio climático en sus
políticas y medidas sociales, económicas y
ambientales pertinentes y emplear métodos
apropiados, por ejemplo evaluaciones del impacto,
formulados y determinados a nivel nacional, con
miras a reducir al mínimo los efectos adversos en la
economía, la salud pública y la calidad del medio
ambiente, de los proyectos o medidas emprendidos por
las Partes para mitigar el cambio climático o
adaptarse a él.
Art
4.1(g)
All Parties to promote and
cooperate in research on the
climate system and the effects of
climate change
Promote and cooperate in scientific, technological,
technical, socio-economic and other research,
systematic observation and development of data
archives related to the climate system and intended to
further the understanding and to reduce or eliminate
the remaining uncertainties regarding the causes,
effects, magnitude and timing of climate change and
the economic and social consequences of various
response strategies;
Promover y apoyar con su cooperación la
investigación científica, tecnológica, técnica,
socioeconómica y de otra índole, la observación
sistemática y el establecimiento de archivos de
datos relativos al sistema climático, con el
propósito de facilitar la comprensión de las causas,
los efectos, la magnitud y la distribución
cronológica del cambio climático, y de las
consecuencias económicas y sociales de las distintas
estrategias de respuesta y de reducir o eliminar los
elementos de incertidumbre que aún subsisten al
respecto.
Art 5
All Parties to support
international research efforts and
help build the capacity of
developing countries to
participate in such efforts
In carrying out their commitments under Article 4,
paragraph 1(g), the Parties shall:
Al llevar a la práctica los compromisos a que se refiere
el inciso g) del párrafo 1 del artículo 4 las Partes:
(a) Support and further develop, as appropriate,
international and intergovernmental programmes and
networks or organizations aimed at defining,
conducting, assessing and financing research, data
collection and systematic observation, taking into
account the need to minimize duplication of effort;
a) Apoyarán y desarrollarán aún más, según proceda, los
programas y redes u organizaciones internacionales e
intergubernamentales, que tengan por objeto definir,
realizar, evaluar o financiar actividades de
investigación, recopilación de datos y observación
sistemática, teniendo en cuenta la necesidad de
minimizar la duplicación de esfuerzos;
(b) Support international and intergovernmental efforts
to strengthen systematic observation and national
scientific and technical research capacities and
capabilities, particularly in developing countries, and to
promote access to, and the exchange of, data and
analyses thereof obtained from areas beyond national
jurisdiction; and
(c) Take into account the particular concerns and needs
of developing countries and cooperate in improving
their endogenous capacities and capabilities to
participate in the efforts referred to in subparagraphs
(a) and (b) above.
39
b) Apoyarán los esfuerzos internacionales e
intergubernamentales para reforzar la observación
sistemática y la capacidad y los medios nacionales
de investigación científica y técnica,
particularmente en los países en desarrollo, y para
promover el acceso a los datos obtenidos de zonas
situadas fuera de la jurisdicción nacional, así como
el intercambio y el análisis de esos datos; y
c) Tomarán en cuenta las necesidades y preocupaciones
particulares de los países en desarrollo y
cooperarán con el fin de mejorar sus medios y
capacidades endógenas para participar en los
esfuerzos a que se hace referencia en los apartados
a) y b).
Promover y apoyar con su cooperación el intercambio
pleno, abierto y oportuno de la información pertinente
de orden científico, tecnológico, técnico,
socioeconómico y jurídico sobre el sistema climático y el
cambio climático, y sobre las consecuencias económicas
y sociales de las distintas estrategias de respuesta
Art
4.1(h)
All Parties to promote and
cooperate in the exchange of
relevant information about the
climate system and the economic
and social consequences of
response strategies (all parties)
Promote and cooperate in the full, open and prompt
exchange of relevant scientific, technological, technical,
socio-economic and legal information related to the
climate system and climate change, and to the
economic and social consequences of various response
strategies;
Art
4.1(i)
All Parties to promote and
cooperate in education and public
awareness related to climate
change
Promote and cooperate in education, training and
public awareness related to climate change and
encourage the widest participation in this process,
including that of non-governmental organizations;
Promover y apoyar con su cooperación la educación, la
capacitación y la sensibilización del público respecto del
cambio climático y estimular la participación más amplia
posible en ese proceso, incluida la de las organizaciones
no gubernamentales;
Art 6
All Parties to develop and
implement programs and improve
public access to information on
climate change impacts and
facilitate public participation in
developing responses to such
impacts.
In carrying out their commitments under Article 4,
paragraph 1(i), the Parties shall:
Al llevar a la práctica los compromisos a que se refiere
el inciso i) del párrafo 1 del artículo 4 las Partes:
(a) Promote and facilitate at the national and, as
appropriate, subregional and regional levels, and in
accordance with national laws and regulations, and
within their respective capacities:
a) Promoverán y facilitarán, en el plano nacional y,
según proceda, en los planos subregional y regional,
de conformidad con las leyes y reglamentos
nacionales y según su capacidad respectiva:
i) La elaboración y aplicación de programas de
educación y sensibilización del público sobre
el cambio climático y sus efectos;
(i) The development and implementation of educational
and public awareness programmes on climate change
and its effects;
(ii) Public access to information on climate change and
its effects;
(iii) Public participation in addressing climate change
and its effects and developing adequate responses; and
40
ii) El acceso del público a la información sobre el
cambio climático y sus efectos;
iii) La participación del público en el estudio del
cambio climático y sus efectos y en la
elaboración de las respuestas adecuadas; y
(iv) Training of scientific, technical and managerial
personnel.
iv) La formación de personal científico, técnico y
directivo;
(b) Cooperate in and promote, at the international
level, and, where appropriate, using existing bodies:
b) Cooperarán, en el plano internacional, y, según
proceda, por intermedio de organismos existentes, en
las actividades siguientes, y las promoverán:
(i) The development and exchange of educational and
public awareness material on climate change and its
effects; and
(ii) The development and implementation of education
and training programmes, including the strengthening
of national institutions and the exchange or
secondment of personnel to train experts in this field,
in particular for developing countries.
Art
4.1(j)
Art 4.3
All Parties to communicate
progress on implementing
Convention obligations to the
Conference of the Parties
Developed country parties to
provide financial resources
needed by developing party
countries to implement their
commitments under Article 4.
41
Communicate to the Conference of the Parties
information related to implementation, in accordance
with Article 12.
The developed country Parties and other developed
Parties included in Annex II shall provide … such
financial resources, including for the transfer of
technology, needed by the developing country Parties
to meet the agreed full incremental costs of
implementing measures that are covered by paragraph
1 of this Article…
i) La preparación y el intercambio de material
educativo y material destinado a sensibilizar
al público sobre el cambio climático y sus
efectos; y
ii) La elaboración y aplicación de programas de
educación y formación, incluido el
fortalecimiento de las instituciones nacionales
y el intercambio o la adscripción de personal
encargado de formar expertos en esta esfera, en
particular para países en desarrollo.
Comunicar a la Conferencia de las Partes la
información relativa a la aplicación, de conformidad
con el artículo 12.
Las Partes que son países desarrollados y las demás
Partes desarrolladas que figuran en el anexo II,
Proporcionarán…proporcionarán tales recursos
financieros, entre ellos, recursos para la transferencia de
tecnología, que las Partes que son países en desarrollo
necesiten para satisfacer la totalidad de los gastos
adicionales convenidos resultantes de la aplicación de
las medidas establecidas en el párrafo 1 de este
artículo…
Art 4.4
Developed country parties to
assist vulnerable developing
countries in meeting the costs of
adapting to the adverse effects of
climate change
The developed country parties and other developed
Parties included in Annex II shall also assist the
developing country parties that are particularly
vulnerable to the adverse effects of climate change in
meeting costs of adaptation to those adverse effects.
Las Partes que son países desarrollados, y las demás
Partes desarrolladas que figuran en el anexo II, también
ayudarán a las Partes que son países en desarrollo
particularmente vulnerables a los efectos adversos del
cambio climático a hacer frente a los costos que entrañe
su adaptación a esos efectos adversos.
Art 4.5
Developed country parties to
provide technological assistance
to other countries to implement
their Convention commitments.
The developed country Parties and other developed
Parties included in Annex II shall take all practicable
steps to promote, facilitate and finance, as appropriate,
the transfer of, or access to, environmentally sound
technologies and know-how to other Parties,
particularly developing country Parties, to enable them
to implement the provisions of the Convention. In this
process, the developed country Parties shall support
the development and enhancement of endogenous
capacities and technologies of developing country
Parties. Other Parties and organizations in a position to
do so may also assist in facilitating the transfer of such
technologies.
Las Partes que son países desarrollados y las demás
Partes desarrolladas que figuran en el anexo II tomarán
todas las medidas posibles para promover, facilitar y
financiar, según proceda, la transferencia de tecnologías
y conocimientos prácticos ambientalmente sanos, o el
acceso a ellos, a otras Partes, especialmente las Partes
que son países en desarrollo, a fin de que puedan aplicar
las disposiciones de la Convención. En este proceso, las
Partes que son países desarrollados apoyarán el
desarrollo y el mejoramiento de las capacidades y
tecnologías endógenas de las Partes que son países en
desarrollo. Otras Partes y organizaciones que estén en
condiciones de hacerlo podrán también contribuir a
facilitar la transferencia de dichas tecnologías.
Developed country parties to help
build the capacity and
technologies of developing
country parties.
Art 4.7
Developed country parties to
recognize that developing
countries rely on their assistance
to implement their Convention
commitments and that poverty
eradication is the first and
overriding priority of those parties
The extent to which developing country Parties will
effectively implement their commitments under the
Convention will depend on the effective
implementation by developed country Parties of their
commitments under the Convention related to financial
resources and transfer of technology and will take fully
into account that economic and social development and
poverty eradication are the first and overriding
priorities of the developing country Parties.
La medida en que las Partes que son países en desarrollo
lleven a la práctica efectivamente sus compromisos en
virtud de la Convención dependerá de la manera en que
las Partes que son países desarrollados lleven a la
práctica efectivamente sus compromisos relativos a los
recursos financieros y la transferencia de tecnología, y se
tendrá plenamente en cuenta que el desarrollo
económico y social y la erradicación de la pobreza son
las prioridades primeras y esenciales de las Partes que
son países en desarrollo.
Art 4.8
All Parties to especially consider
taking measures to address the
needs of vulnerable developing
country Parties
In the implementation of the commitments in this
Article, the Parties shall give full consideration to what
actions are necessary under the Convention, including
actions related to funding, insurance and the transfer of
technology, to meet the specific needs and concerns of
Al llevar a la práctica los compromisos a que se refiere
este artículo, las Partes estudiarán a fondo las medidas
quesea necesario tomar en virtud de la Convención,
inclusive medidas relacionadas con la financiación, los
seguros y la transferencia de tecnología, para atender a
42
developing country Parties arising from the adverse
effects of climate change and/or the impact of the
implementation of response measures, especially on:
(a) Small island countries;
(b) Countries with low-lying coastal areas;
las necesidades y preocupaciones específicas de las
Partes que son países en desarrollo derivadas de los
efectos adversos del cambio climático o del impacto de
la aplicación de medidas de respuesta, en especial de los
países siguientes:
a) Los países insulares pequeños;
(c) Countries with arid and semi-arid areas, forested
areas and areas liable to forest decay;
b) Los países con zonas costeras bajas;
(d) Countries with areas prone to natural disasters;
c) Los países con zonas áridas y semiáridas, zonas con
obertura forestal y zonas expuestas al deterioro forestal;
(e) Countries with areas liable to drought and
desertification;
(f) Countries with areas of high urban atmospheric
pollution;
(g) Countries with areas with fragile ecosystems,
including mountainous ecosystems;
(h) Countries whose economies are highly dependent
on income generated from the production, processing
and export, and/or on consumption of fossil fuels and
associated energy-intensive products; and
(i) Land-locked and transit countries.
Further, the Conference of the Parties may take actions,
as appropriate, with respect to this paragraph.
d) Los países con zonas propensas a los desastres
naturales;
e) Los países con zonas expuestas a la sequía y a la
desertificación;
f) Los países con zonas de alta contaminación
atmosférica urbana;
g) Los países con zonas de ecosistemas frágiles, incluidos
los ecosistemas montañosos;
h) Los países cuyas economías dependen en gran medida
de los ingresos generados por la producción, el
procesamiento y la exportación de combustibles fósiles y
productos asociados de energía intensiva o de su
consumo;
i) Los países sin litoral y los países de tránsito.
Además, la Conferencia de las Partes puede tomar las
medidas que proceda en relación con este párrafo
43
Art
4(9)
Art 711
All Parties must especially account
for the specific needs of least
developing countries when
participating in funding and
technology transfer.
Establishment of governance
arrangements, including the
Conference of the Parties as the
supreme decision-making body
and a mechanism to provide
funding and transfer of
technology.
The parties shall take full account of the specific needs
and special situations of the least developed countries
in their actions with regard to funding and transfer of
technology.
Las Partes tomarán plenamente en cuenta las
necesidades específicas y las situaciones especiales de
los países menos adelantados al adoptar medidas con
respecto a la financiación y a la transferencia de
tecnología.
1. A Conference of the Parties is hereby established.
1. Se establece por la presente una Conferencia de las
Partes.
2. The Conference of the Parties, as the supreme body
of this Convention, shall keep under regular review the
implementation of the Convention and any related legal
instruments that the Conference of the Parties may
adopt, and shall make, within its mandate, the
decisions necessary to promote the effective
implementation of the Convention.
Art 8 Secretariat
Art 9 Subsidiary Body for Scientific and Technical Advice
44
2. La Conferencia de las Partes, en su calidad de órgano
supremo de la presente Convención, examinará
regularmente la aplicación de la Convención y de todo
instrumento jurídico conexo que adopte la Conferencia
de las Partes y, conforme asu mandato, tomara las
decisiones necesarias para promover la aplicación eficaz
de la Convención.
Secretaria
Art 10 Subsidiary Body for Implementation
Órgano Subsidiario de Asesoramiento de Científico y
Tecnológico
Organo Subsidiario de Ejecucion
Art 11 Finanial mechanism
Mecanismo de financiacion
1. A mechanism for the provision of financial resources
on a grant or concessional basis, including for the
transfer of technology, is hereby defined. It shall
function under the guidance of and be accountable to
the Conference of the Parties, which shall decide on its
policies, programme priorities and eligibility criteria
related to this Convention. Its operation shall be
entrusted to one or more existing international entities.
1. Por la presente se define un mecanismo para el
suministro de recursos financieros a título de subvención
o en condiciones de favor para, entre otras cosas, la
transferencia de tecnología. Ese mecanismo funcionará
bajo la dirección de la Conferencia de las Partes y rendirá
cuentas a esa encomendado a una o más entidades
internacionales existentes.
2. The financial mechanism shall have an equitable and
balanced representation of all Parties within a
transparent system of governance.
2. El mecanismo financiero tendrá una representación
equitativa y equilibrada de todas las Partes en el marco
de un sistema de dirección transparente.
…
Art 12
All parties to communicate
information regarding efforts
made to implement commitments
ARTICLE 12 COMMUNICATION OF INFORMATION
RELATED TO IMPLEMENTATION
1(b) A general description of steps taken or envisaged
by the Party to implement the Convention; and
1(c) Any other information that the Party considers
relevant to the achievement of the objective of the
Convention and suitable for inclusion in its
communication, including, if feasible, material relevant
for calculations of global emission trends.
3. In addition, each developed country Party and each
other developed Party included in Annex II shall
incorporate details of measures taken in accordance
with Article 4, paragraphs 3, 4 and 5.
…
TRANSMISION DE INFORMACION RELACIONADA CON LA
APLICACIÓN
De conformidad con el párrafo 1 del artículo 4, cada una
de las Partes transmitirá a la Conferencia de las Partes,
por
b) Una descripción general de las medidas que ha
adoptado o prevé adoptar para aplicar la Convención; y
c) Cualquier otra información que la Parte considere
pertinente para el logro del objetivo de la Convención y
apta para ser incluida en suc omunicación, con inclusión,
si fuese factible, de datos pertinentes para el cálculo de
las tendencias de las emisiones mundiales.
ART 13
ARTICLE 13 RESOLUTION OF QUESTIONS REGARDING
IMPLEMENTATION
3.Además, cada una de las Partes que sea un país
desarrollado y cada una de las demás Partes
desarrolladas comprendidas en el anexo II incluirán
detalles de las medidas adoptadas de conformidad con
los párrafos 3, 4 y 5 del artículo 4.
RESOLUCION DE CUESTIONES RELACIONADAS CON LA
APLICACIÓN DE LA CONVENCION
ART 14
ARTICLE 14 SETTLEMENT OF DISPUTES
ARREGLO DE CONTROVERSIAS
ART 15
ART 16
ARTICLE 15 AMENDMENTS TO THE CONVENTION
ARTICLE 16 ADOPTION AND AMENDMENT OF ANNEXES
TO THE CONVENTION
ARTICLE 17 PROTOCOLS
ENMIENDAS A LA CONVENCION
APROBACION Y ENMIENDA DE LOS ANEXOS DE LA
CONVENCION
PROTOCOLOS
ARTICLE 18 RIGHT TO VOTE
ARTICLE 19 DEPOSITARY
ARTICLE 20 SIGNATURE
ARTICLE 21 INTERIM ARRANGEMENTS
ARTICLE 22 RATIFICATION, ACCEPTANCE, APPROVAL OR
ACCESSION
DERECHO DE VOTO
DEPOSITARIO
FIRMA
DISPOSICIONES PROVISIONALES
RATIFICACION, ACEPTACION, APROBACION O ADHESION
ART 17
ART 18
ART 19
ART 20
ART 21
ART 22
45
ART 23
ART 24
ART 25
ART 26
ARTICLE 23 ENTRY INTO FORCE
ARTICLE 24 RESERVATIONS
ARTICLE 25 WITHDRAWAL
ARTICLE 26 AUTHENTIC TEXTS
46
ENTRADA EN VIGOR
RESERVAS
DENUNCIA
TEXTOS AUTENTICOS
Kyoto Protocol
Art 10
Art 10(b)
Adaptation measures
Art 10 All Parties,… without introducing any new commitments
for Parties not included in Annex I, but reaffirming existing
commitments under Article 4, paragraph 1, of the Convention,
and continuing to advance the implementation of these
commitments in order to achieve sustainable development,
taking into account Article 4, paragraphs 3, 5 and 7, of the
Convention, shall
Art 10 Todas las Partes, …sin introducir ningún nuevo
compromiso para las Partes no incluidas en el anexo I
aunque reafirmando los compromisos ya estipulados en
el párrafo 1 del artículo 4 de la Convención y llevando
adelante el cumplimiento de estos compromisos con
miras a lograr el desarrollo sostenible, teniendo en
cuenta lo dispuesto en los párrafos 3, 5 y 7 del artículo 4
de la Convención
(All parties shall) develop, publish and regularly update
national, and where appropriate, regional programmes
containing measures …to facilitate adequate adaptation to
climate change.
Art 10(b) Formularán, aplicarán, publicarán y
actualizarán periódicamente programas nacionales y,
en su caso, regionales que contengan medidas …facilitar
una adaptación adecuada al cambio climático.
(i) Such programmes would, inter alia, concern the
energy, transport and industry sectors as well as
agriculture, forestry and waste management.
Furthermore, adaptation technologies and methods for
improving spatial planning would improve adaptation to
climate change; and
(ii) Parties included in Annex I shall submit information
on action under this Protocol, including national
programmes, in accordance with Article 7; and other
Parties shall seek to include in their national
communications, as appropriate, information on
programmes which contain measures that the Party
believes contribute to addressing climate change and its
adverse impacts, including…capacity building and
adaptation measures;
47
(i) tales programas guardarían relación, entre
otras cosas, con los sectores de la energía, el
transporte y la industria así como con la
agricultura, la silvicultura y la gestión de los
desechos. Es más, mediante las tecnológicas y
métodos de adaptación para la mejora de la
planificación espacial se fomentaría la
adaptación al cambio climático; y
ii) las Partes del anexo I presentarán
información sobre las medidas adoptadas en
virtud del presente Protocolo, en particular los
programas nacionales, de conformidad con el
artículo 7, y otras Partes procurarán incluir en
sus comunicaciones nacionales, según
corresponda, información sobre programas que
contengan medidas que a juicio de la Parte
contribuyen a hacer frente al cambio clim·tico y
a sus repercusiones adversas, entre ellas
…medidas de fomento de la capacidad y
medidas de adaptación.
Art 10(c)
Cooperating to
promote technology
transfer
(All parties shall) cooperate in the promotion of effective
modalities for the development, application and diffusion of,
and take all practicable steps to promote, facilitate and finance,
as appropriate, the transfer of, or access to, environmentally
sound technologies, know-how, practices and processes
pertinent to climate change, in particular to developing
countries, including the formulation of policies and
programmes for the effective transfer of environmentally sound
technologies that are publicly owned or in the public domain
and the creation of an enabling environment for the private
sector, to promote and enhance the transfer of, and access to,
environmentally sound technologies;
Art 10(d)
Cooperate in scientific
and technical
research and
systematic
observation
(All parties shall) cooperate in scientific and technical research
and promote the maintenance and the development of
systematic observation systems and development of data
archives to reduce uncertainties related to the climate system,
the adverse impacts of climate change and the economic and
social consequences of various response strategies, and
promote the development and strengthening of endogenous
capacities and capabilities to participate in international and
intergovernmental efforts, programmes and networks on
research and systematic observation, taking into account Article
5 of the Convention;
Build countries’
capacity and
capability to
participate in
international research
efforts
48
Cooperarán en la promoción de modalidades eficaces
para el desarrollo, la aplicación y la difusión de
tecnologías, conocimientos especializados, prácticas y
procesos ecológicamente racionales en lo relativo al
cambio climático, y adoptarán todas las medidas viables
para promover, facilitar y financiar, según corresponda,
la transferencia de esos recursos o el acceso a
ellos, en particular en beneficio de los países en
desarrollo, incluidas la formulación de políticas y
programas para la transferencia efectiva de tecnologías
ecológicamente racionales que sean de propiedad
pública o de dominio público y la creación en el sector
privado de un clima propicio que permita promover la
transferencia de tecnologías ecológicamente racionales
y el acceso a éstas;
Cooperarán en investigaciones científicas y técnicas y
promoverán el mantenimiento y el desarrollo de
procedimientos de observación sistemática y la
creación de archivos de datos para reducir las
incertidumbres relacionadas con el sistema climático,
las repercusiones adversas del cambio climático y las
consecuencias económicas y sociales de las diversas
estrategias de respuesta, y promoverán el desarrollo y
el fortalecimiento de la capacidad y de los medios
nacionales para participar en actividades, programas y
redes internacionales e intergubernamentales de
investigación y observación sistemática, teniendo en
cuenta lo dispuesto en el artículo 5 de la Convención;
Art 10(e)
Cooperate in
education and
training
(All parties shall) cooperate in and promote at the international
level, and, where appropriate, using existing bodies, the
development and implementation of education and training
programmes, including the strengthening of national capacity
building, in particular human and institutional capacities and
the exchange or secondment of personnel to train experts in
this field, in particular for developing countries, and facilitate at
the national level public awareness of, and public access to
information on, climate change. Suitable modalities should be
developed to implement these activities through the relevant
bodies of the Convention, taking into account Article 6 of the
Convention;
Art 10(f)
Communicate
information on
programmes and
activities
(All parties shall) include in their national communications
information on programmes and activities undertaken pursuant
to this Article in accordance with relevant decisions of the
Conference of the Parties;
Art 12(8)
Proportion of CDM
proceeds to be used
to fund adaptation
A share of the proceeds from Clean Development Mechanism
projects is to be used to assist developing country Parties that
are particularly vulnerable to the adverse effects of climate
change to meet the costs of adaptation.
Art 13(1)
and (2)
Governance
1. The Conference of the Parties, the supreme body of the
Convention, shall serve as the meeting of the Parties to this
49
Cooperarán en el plano internacional, recurriendo,
según proceda, a Órganos existentes, en la elaboración
y la ejecución de programas de educación y
capacitación que prevean el fomento de la creación de
capacidad nacional, en particular capacidad humana e
institucional, y el intercambio o la adscripción de
personal encargado de formar especialistas en esta
esfera, en particular para los países en desarrollo, y
promoverán tales actividades, y facilitarán en el plano
nacional el conocimiento público de la información
sobre el cambio climático y el acceso del público a ésta.
Se deberán establecer las modalidades apropiadas para
poner en ejecución estas actividades por conducto de
los órganos pertinentes de la Convención, teniendo en
cuenta lo dispuesto en el artículo 6 de la Convención;
Incluirán en sus comunicaciones nacionales información
sobre los programas y actividades emprendidos en
cumplimiento del presente artículo de conformidad con
las decisiones pertinentes de la Conferencia de las
Partes;
La Conferencia de las Partes en calidad de reunión de
las Partes en el presente Protocolo se asegurará de que
una parte de los fondos procedentes de las actividades
de proyectos certificadas se utilice para cubrir los gastos
administrativos y ayudar a las Partes que son países en
desarrollo particularmente vulnerables a los efectos
adversos del cambio climático a hacer frente a los
costos de la adaptación.
1. La Conferencia de las Partes, que es el órgano
supremo de la Convención, actuará como reunión de las
50
Protocol.
Partes en el presente Protocolo.
2. Parties to the Convention that are not Parties to this Protocol
may participate as observers in the proceedings of any session
of the Conference of the Parties serving as the meeting of the
Parties to this Protocol. When the Conference of the Parties
serves as the meeting of the Parties to this Protocol, decisions
under this Protocol shall be taken only by those that are Parties
to this Protocol.
2. Las Partes en la Convención que no sean Partes en el
presente Protocolo podrán participar como
observadoras en las deliberaciones de cualquier
período de sesiones de la Conferencia de las Partes en
calidad de reunión de las Partes en el presente
Protocolo. Cuando la Conferencia de las Partes actúe
como reunión de las Partes en el presente Protocolo,
las decisiones en el ámbito del Protocolo serán
adoptadas únicamente por las Partes en el presente
Protocolo.
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