Proposed programme budget for the biennium Work programme for the secretariat for the biennium

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1 UNITED NATIONS Distr. GENERAL FCCC/SBI/2009/2/Add.1 20 May 2009 ENGLISH ONLY SUBSIDIARY BODY FOR IMPLEMENTATION Thirtieth session Bonn, 1 10 June 2009 Item 14 (b) of the provisional agenda Administrative, financial and institutional matters Programme budget for the biennium Proposed programme budget for the biennium Note by the Executive Secretary Addendum Work programme for the secretariat for the biennium Summary This document summarizes the work programme for the secretariat for the biennium and outlines the amount of core budget and supplementary resources required to implement its mandates and achieve its expected results. It should be considered in conjunction with document FCCC/SBI/2009/2, which contains the proposed programme budget and Add.2 and 3, which list the activities to be funded from supplementary sources. GE

2 Page 2 CONTENTS Paragraphs Page I. INTRODUCTION II. PROGRAMMES A. Executive Direction and Management B. Reporting, Data and Analysis C. Financial and Technical Support D. Adaptation, Technology and Science E. Sustainable Development Mechanisms F. Legal Affairs G. Conference Affairs Services H. Information Services I. Administrative Services Annex Proposed programme budget for the biennium by source of funding... 44

3 Page 3 I. Introduction 1. This document summarizes the work programme for the secretariat for the biennium and outlines the amount of core budget and supplementary resources required to implement the mandates given to it by the Parties and to achieve expected results. Some of the mandated activities can only be fully implemented if associated supplementary resources are available. The table contained in the annex to this document shows the total funding requirements by programme for the core budget, fee-based income for the clean development mechanism (CDM) and joint implementation (JI) and other trust funds. 1 It also gives details of the projected income, by source. 2. In keeping with efforts to ensure a fully results-oriented process and in line with best practices in the United Nations system, results-based approaches have been established for the work of the secretariat. By articulating clear objectives, expected results and performance indicators of activities before they are implemented, the aim of this document is to emphasize what the secretariat intends to accomplish from its work programme rather than simply list what activities are planned. 3. The expected results referred to in this document are the direct consequence or effect of the generation of mandated outputs 2 to be delivered within the biennium. External factors, for example the availability of sufficient and stable funding, affect the secretariat s ability to generate outputs and services. 4. Performance indicators have been introduced at the level of the expected results of each programme. They measure the extent to which expected results have been achieved as a result of the secretariat s intervention. The identified indicators are intended to enhance transparency and good governance, while keeping the cost for data collection and processing low. 5. The indicators were carefully selected. Inevitably, some uncertainty remains. For example, data for several of the indicators have not been collected in the past, and the collection and processing of data may turn out to be more labour intensive than previously thought. Therefore, experience gained in the use of the indicators and reporting to Parties during the biennium may lead to necessary adjustments. 6. Legislative mandates referred to in this document are the provisions under the Convention and its Kyoto Protocol, and the decisions of the Conference of the Parties (COP) and the Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol (CMP) which constitute the legal basis 1 Other trust funds include the Trust Fund for Supplementary Activities, the Trust Fund for the Special Annual Contribution from the Government of Germany, the Trust Fund for the International Transaction Log and the Trust Fund for Participation in the UNFCCC Process. Activity and resource requirements related to the Trust Fund for Supplementary Activities and the Trust Fund for the International Transaction Log are presented in detail in documents FCCC/SBI/2009/2/Add.2 and FCCC/SBI/2009/2/Add.3, respectively. Planned activities and budgetary needs relating to the work of the CDM Executive Board and the Joint Implementation Supervisory Committee will be laid out in the CDM and JI management plans, respectively. The plans are regularly updated and are available at < and < respectively. 2 According to the Secretary-General s bulleting of 19 April 2000, Regulations and Rules Governing Programme Planning, the Programme Aspects of the Budget, the Monitoring of Implementation and the Methods of Evaluation, outputs are final products or services delivered by programmes or subprogrammes to end-users, such as reports, publications, training, servicing of meetings, or advisory, editorial, translation or security services, which an activity is expected to produce in order to achieve its objectives (available at <

4 Page 4 for the activities carried out in a particular programme. Conclusions of the subsidiary bodies and mandates provided by constituted bodies are generally not referred to, with a few exceptions. II. Programmes A. Executive Direction and Management 7. The overall purpose of the Executive Direction and Management programme (EDM) is to ensure the secretariat s responsiveness to the needs of the Convention and Kyoto Protocol bodies and the overall coherence of the work of the secretariat. The Executive Secretary and the Deputy Executive Secretary provide leadership and strategic direction for the secretariat and further the secretariat-wide objectives. EDM directly supports the COP President and COP Bureau, and coordinates the secretariat s support to the COP, the CMP and elected officers so that they can advance the intergovernmental process. The Executive Secretary consults closely with representatives of Parties and reaches out to global stakeholders to encourage their support of the objectives and the implementation of the Convention. 8. The basic mandates for this programme are contained in Article 8, paragraph 2, of the Convention and Article 14, paragraph 2, of the Kyoto Protocol (on the functions of the secretariat), 3 as well as in Article 7 of the Convention (on the COP) and Article 13 of the Kyoto Protocol (on the CMP). Additional mandates are contained in the decisions and conclusions of the Convention and Kyoto Protocol bodies, including the decisions and conclusions on arrangements for intergovernmental meetings. 9. The biennium is marked by the negotiations under both the Convention and the Kyoto Protocol, and related efforts to enhance global action to address climate change, which make this biennium the most dynamic and demanding to date. The substantial strengthening of the work programme of EDM, made possible by generous supplementary contributions, helps to support the work of the Ad Hoc Working Group on Long-term Cooperative Action under the Convention (AWG- LCA) and the Ad Hoc Working Group on Further Commitments for Annex I Parties under the Kyoto Protocol (AWG-KP), and related activities. Another area strengthened is cooperation within the United Nations system and with intergovernmental organizations. Since this cooperation focuses on implementation and aims to enhance the catalytic role of the Convention, it will play a more prominent role in the coming bienniums once Parties have agreed on long-term cooperative action to enhance the implementation of the Convention. Finally, a COP secretariat team was established in the Office of the Deputy Executive Secretary, which has enhanced capacity to assist the COP President and the COP Bureau in effectively organizing the increasingly complex intergovernmental process. 10. The main challenge in the biennium will be to ensure the implementation of, and follow-up to, the decisions on further commitments for Parties included in Annex I to the Convention (Annex I Parties) under the Kyoto Protocol and long-term cooperative action under the Convention. At the same time, EDM will ensure the secretariat s high level of responsiveness to all mandates of the COP at its fifteenth session and the CMP at its fifth session, including continued coherent support for ongoing activities under the Convention and under the Kyoto Protocol, which will be in its first commitment period. In parallel, the secretariat will need to prepare for, and engage in, new areas of work agreed upon at the United Nations Climate Change Conference in Copenhagen in December Action on mitigation and adaptation, and ensuring support through technology transfer, financial resources and capacity-building to enable such action in developing countries will require a renewed effort both within the secretariat and from external partners. 3 Titles of Articles of the Convention and its Kyoto Protocol are included in this document solely to assist the reader.

5 Page The objectives, expected results 4 and performance indicators 5 for EDM are shown in table 1 and its resources are shown in table 2. The organization of the programme is illustrated in figure 1. Table 1. Objectives, expected results and performance indicators for the Executive Direction and Management programme Objective 1: to enhance the secretariat s responsiveness to the needs of Convention and Protocol bodies, and to enhance the coherence of its work in order to facilitate the efficient and effective implementation of the Convention. The secretariat responds to the priorities of, and requests by, Parties and supports emerging issues, including those that relate to agreed outcomes under the Bali Road Map. Activities undertaken are coherent across programmes. The strategic objectives of programmes, and the distribution of tasks and responsibilities among the programmes are clear. Proportion of mandated outputs delivered and delivered on time Level of satisfaction of Parties with the work of the secretariat The members of the secretariat management consult with each other and take decisions on a regular basis (bilaterally and in management bodies) Objective 2: to ensure secretariat support for the Conference of the Parties and the Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol thus enabling progress to be made in the intergovernmental process. Climate change intergovernmental meetings provide a forum for taking decisions and advancing the process of responding to climate change. Presidents of the Conference of the Parties (COP) and the COP Bureau are well informed and able to carry out their functions effectively. The high-level segment (HLS) provides political impetus to the intergovernmental process. Level of satisfaction of the COP President and the COP Bureau with secretariat support Number of agenda items unresolved before and after the HLS Objective 3: to ensure effective communication and outreach on the intergovernmental process and close liaison with Parties and intergovernmental organizations, which will enhance the contribution of all stakeholders to the implementation of the Convention. Information on the UNFCCC process is effectively communicated by the secretariat. Frequency of reference in the media to the UNFCCC messages issued during the COP sessions Number and duration of visits to the UNFCCC website and the volume of content downloads 4 Unless otherwise stated, expected results relate to both work under the Convention and work under its Kyoto Protocol. 5 For a few expected results in this work programme, meaningful low-cost indicators could not be identified.

6 Page 6 Table 1 (continued) Support provided by the United Nations and intergovernmental agencies to Parties in the implementation of the Convention is enhanced. Objective 4: to continue to develop the secretariat as a well managed, mature institution with a highly developed working environment and healthy working culture. Competent and motivated staff representing a broad geographic spectrum and gender balance are recruited, trained and retained. Internal processes function smoothly and staff are satisfied with their work and with management. The secretariat has the required financial resources to implement mandates given to it by the COP and the Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol. Financial resources are managed in a sound manner and are utilized to maximize the benefit to the UNFCCC process. Strategies Percentage of staff from Parties not included in Annex I to the Convention and women in posts in the Professional and higher categories Level of staff satisfaction with their job, management and development opportunities Percentage of mandated outputs that cannot be delivered as a result of insufficient funding Contribution rate to core budget (compared with approved budget) Rate of contribution to the Trust Fund for Supplementary Activities Proportion of actual expenditure compared with the approved budget and available supplementary funds Implementation rate of audit recommendations relating to financial and administrative matters 12. The focus of efforts will shift from negotiations to the implementation of mandates, including those under agreed outcomes under the Bali Road Map. The support to the intergovernmental process has to ensure that ongoing and future implementation efforts at the local, regional and global level are in line with priorities set by the Parties. Resource mobilization efforts will be required to engage others, including United Nations agencies, to commit to contributing to the actions required. 13. The programme will spend about 30 per cent of its proposed core budget 6 on achieving the expected results under objective 1 (responsiveness of the secretariat and the coherence of its work 7 ). It will provide strategic guidance to all programmes in order to promote a coordinated, targeted and forward-looking approach to supporting implementation efforts guided by the intergovernmental process. EDM will closely monitor, and further the effectiveness and timeliness of the responses of programmes to mandates given by Parties. In a biennium characterized by the refinement and implementation of new instruments developed by Parties, it will be essential that the secretariat has the capacity to be flexible and act swiftly, and that its internal communication and management mechanisms, and tools are functioning and well utilized. 6 An overview of the proposed core programme budget for the biennium by programme is contained in table 3 of document FCCC/SBI/2009/2. 7 Key words from the objectives are provided in brackets to assist the reader.

7 Page The programme will spend about 30 per cent of its proposed core budget on achieving the expected results under objective 2 (support for the COP and the CMP). EDM will maintain close liaison with the presiding officers of the Convention and Kyoto Protocol bodies, high-level representatives of Parties and representatives from observer organizations. This will ensure that the sessions of the Convention and Protocol bodies move decision-making towards an effective long-term global response to climate change. The focus will be on informing decisions by elected officers and high-level representatives through the provision of exhaustive documentation, analysis and advice on strategic, political, procedural and organizational aspects of the intergovernmental process. 15. The programme will spend about 20 per cent of its proposed core budget on achieving the expected results under objective 3 (effective communication and outreach, and close liaison). EDM will intensify its collaboration with secretariats of other international bodies and will encourage United Nations organizations and intergovernmental organizations (IGOs) through high-level contacts to contribute in a cooperative manner to the implementation of decisions reached by the COP and the CMP. A focus will be on enhancing support to developing country Parties in line with the agreed outcome of COP 15 and CMP 5. The programme will manage the secretariat s media outreach and representation to ensure that information on the UNFCCC process is communicated effectively. 16. The programme will spend about 20 per cent of its proposed core budget on achieving the expected results under objective 4 (well managed secretariat). The Executive Secretary will redouble his efforts to attract highly qualified female staff and staff from Parties not included in Annex I to the Convention (non-annex I Parties), and to enhance measures to assess and further improve the working culture and environment of the secretariat. The quality of administrative, information and conference services to Parties and the secretariat, as well as the managerial skills of its senior staff, will play a critical role in maintaining and enhancing the secretariat s efficiency and effectiveness. EDM will coordinate and oversee the preparation of the work programme and budget, as well as fund-raising for supplementary activities. It will monitor the implementation of activities and budgets, using performance indicators in a results-based approach. EDM will intensify measures to mitigate the environmental impact of the secretariat s operations, including the carbon footprint of UNFCCC conferences and meetings. The planned relocation of the secretariat to its new premises on the United Nations Campus in Bonn will also provide a good opportunity for this.

8 Page 8 Table 2. Resources of the Executive Direction and Management programme Difference between and a Amount % Core budget b Personnel c Non-personnel Total Number of posts by category 1 ASG, 1 D-2, 2 P-5, 1 P-4, 3 P-3, 1 P-2, 10.5GS Posts 1 ASG, 1 D-2, 2 P-5, 1 P-4, 2 P-3, 1 P-2, 7.5 GS 1 P-3, 3 GS Total Abbreviations: ASG = Assistant Secretary-General, D = Director, P = Professional, and GS = General Service. a All figures in this column show the combined resources of the Executive Direction and Management programme and the Office of the Deputy Executive Secretary, as it has been proposed that they merge in b An overview of the proposed core programme budget for by programme is contained in table 3 of document FCCC/SBI/2009/2. An overview of the core programme budget for by programme is contained in table 1 of document FCCC/SBI/2007/8. c All staff costs including General Temporary Assistance and overtime. Figure 1. Organization of the Executive Direction and Management programme Executive Secretary Office of the Executive Secretary Office of the Deputy Executive Secretary B. Reporting, Data and Analysis 17. The overall purpose of the Reporting, Data and Analysis programme (RDA) is to ensure effective and efficient support to the implementation of the Convention and the Kyoto Protocol by managing the reporting and review processes for Annex I Parties, providing relevant quantitative and qualitative information to Parties, and supporting carbon market infrastructure. 18. The basic mandates for this programme are contained in Article 12 of the Convention (on the communication of information related to implementation); Articles 5, 7 and 8 of the Kyoto Protocol (which define basic reporting and review requirements under the Kyoto Protocol); Articles 6, 12 and 17 of the Kyoto Protocol (which define project-based mechanisms and emissions trading under the Kyoto Protocol). These basic mandates are complemented by relevant COP and CMP decisions.

9 Page In implementing its work programme, RDA has ensured the smooth, efficient and effective functioning of the reporting and review processes under the Convention and the Kyoto Protocol, and has created an operating infrastructure for the carbon market. 20. The main challenges in the biennium will be to ensure the necessary support to the implementation of the Convention and the Kyoto Protocol with respect to the reporting and review of the information submitted by Parties to the Convention, in particular fifth national communications from Annex I Parties, which are due to be submitted by 1 January Another main challenge will be to enhance and strengthen the support to the training of government-nominated experts through the development of training materials and meetings of lead reviewers with a view to ensuring a coherent and consistent approach by international review teams. RDA will continue to assist Parties to the Convention in the reporting and review of the implementation of the relevant commitments, as well as Parties to the Kyoto Protocol in the reporting and review of the implementation of their commitments in the first commitment period. RDA will also support the development of the necessary framework for the future post-2012 regime, especially with regard to measurement, reporting and verification in accordance with the Bali Action Plan (decision 1/CP.13) and as a follow-up to decisions expected to be adopted at COP 15 and CMP The objectives, expected results and performance indicators for RDA are shown in table 3, and its resources are shown in table 4. The organization of the programme is illustrated in figure 2. Table 3. Objectives, expected results and performance indicators for the Reporting, Data and Analysis programme Objective 1: to manage the reporting and review process under the Convention and the Kyoto Protocol. (Article 12 of the Convention, Articles 5, 7 and 8 of the Kyoto Protocol, decisions 18/CP.8, 19/CP.8, 13/CP.9, 14/CP.11, 10/CP.13, 13/CMP.1, 15/CMP.1, 16/CMP.1, 17/CMP.1, 19/CMP.1, 20/CMP.1, 22/CMP.1, 24/CMP.1, 25/CMP.1 and 8/CMP.3) Effective support is provided to the fulfilment of reporting requirements and to the review of the implementation of the Convention and the Kyoto Protocol by Parties included in Annex I to the Convention (Annex I Parties). All greenhouse gas (GHG) inventories from Annex I Parties submitted on time in the biennium are received and reviewed by international expert teams within the mandated time frames All national communications from Annex I Parties submitted by 1 January 2010 are received and reviewed by international expert teams within the mandated time frames

10 Page 10 Table 3 (continued) Objective 2: to provide authoritative quantitative information on the greenhouse gas emissions from Annex I Parties. (Article 12 of the Convention, Articles 4, 7 and 8 of the Kyoto Protocol, decisions 18/CP.8, 19/CP.8, 13/CMP.1, 14/CMP.1, 15/CMP.1 and 22/CMP.1) Data reported by Parties under the Convention and the Kyoto Protocol are processed and stored in a technically sound manner, enabling efficient data management and use by all data systems in the UNFCCC secretariat. Data reported by Parties under the Convention and the Kyoto Protocol are made publicly available in a timely and accurate manner; the UNFCCC is recognized as an authoritative source of GHG data. The greenhouse gas database (GHGDB) and the compilation and accounting database (CAD) hosted/managed by the Reporting, Data and Analysis programme (RDA) are operated and maintained without interruption The interlinkages among all relevant UNFCCC data systems (GHGDB-CAD-international transaction log (ITL)) are kept operational without interruption The GHGDB and CAD are able to produce all of the queries and reports required to support the reporting and review processes for Annex I Parties managed by RDA The two key annual UNFCCC data reports (the GHG data reports, and the compilation and accounting reports) have been considered by Parties at the Conference of the Parties and the Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol All data-related inquiries received by the UNFCCC secretariat have been answered within one week The UNFCCC GHG data interface is kept operational and up-to-date in Objective 3: to support the international transaction log as a foundation of the carbon market infrastructure. (Articles 6, 12 and 17 of the Kyoto Protocol, decisions 2/CMP.1, 3/CMP.1, 5/CMP.1, 9/CMP.1, 11/CMP.1, 12/CMP.1, 13/CMP.1, 14/CMP.1, 15/CMP.1, 16/CP.10 and 22/CMP.1) Carbon market infrastructure functions properly. Parties are able to access the ITL when using emissions trading and project-based mechanisms. ITL downtimes are kept to a minimum, in accordance with the agreed technical standards ITL is able to process all transactions coming from Parties within the time limits defined by the technical standards adopted by Parties Information on the operation of the ITL and the registry systems of Parties is publicly available in accordance with the mandates given by Parties Objective 4: to support the development of decisions relating to measurement, reporting and verification for the post-2012 regime. (decision 1/CP.13 (the Bali Action Plan)) The development of a post-2012 Provisions and guidelines enabling measurement, reporting and regime that ensures robust verification are developed in a timely manner measurement, reporting and New requirements for the information systems managed by RDA verification of commitments and (GHGDB, CAD, ITL) are identified; work on specification and actions undertaken by Parties is implementation is launched facilitated. Strategies 22. The programme will spend about 50 per cent of its proposed core budget on achieving the expected results under objective 1 (managing the reporting and review process). RDA is expected to deliver within a strengthened reporting and review process under both the Convention and the Kyoto

11 Page 11 Protocol, and to take a leading role in the preparation for reporting and review following an agreed outcome of the negotiations at COP 15. The strengthening of the reporting and review process is required in view of the start of mandatory reporting by Annex I Parties that are also Parties to the Kyoto Protocol in 2010 and the upcoming submission and review of the fifth national communications of Annex I Parties. RDA, as the programme that currently manages the entire reporting and review process for Annex I Parties, will also need to contribute constructively to the preparation of relevant reporting and review requirements for the future regime, including its features relating to measurement, reporting and verification that have to be based on quantitative information reported by Parties. In accordance with the existing mandates under the Convention and the Kyoto Protocol, fifth national communications from 41 Annex I Parties are expected to be reviewed in-country by international expert teams under the coordination of RDA in 2010 and 2011 (the submission date is 1 January 2010); 82 greenhouse gas (GHG) inventory submissions from Annex I Parties are expected to be received, processed and then reviewed in 2010 and 2011, for which 16 in-country and 16 centralized Kyoto Protocol reviews by international expert teams under the coordination of RDA are expected to be conducted in 2010 and 2011 (eight centralized and eight in-country reviews are expected to be conducted annually). 23. The programme will spend about 50 per cent of its proposed core budget on achieving the expected results under objective 2 (providing information on GHG emissions from Annex I Parties). RDA is expected to maintain and further enhance its capacity to collect and process GHG-related data, as well as information on national climate policies and projections, which are closely linked to mitigation potential. For these purposes, a sustained effort in the management of all RDA data systems, such as the GHG database and the compilation and accounting database (CAD), will be undertaken; further development activities to respond to the mandates given, as well as to the anticipated new requirements relating to measurement, reporting and verification will be undertaken. RDA is expected to maintain and strengthen the secretariat s role as an authoritative source of information on GHG emission trends and projections, and it is expected to assume the role of an authoritative source of data and information on climate policy action and approaches; collection, processing and dissemination of accounting information on carbon units reported by Parties in the standard electronic format, and data-related support to negotiations are particularly important in this respect. 24. Under objective 3 (supporting the international transaction log (ITL)), the operation and maintenance of the ITL will be provided through the Trust Fund for the International Transaction Log. With full functionality of the ITL already achieved, the emphasis will now be on providing: (a) support to national registries and improvements to the architecture of the system; (b) incident free operation of the ITL; (c) high-quality support to the everyday support requirements of ITL users; and (d) timely information related to the functioning of the ITL to the international expert review teams implementing the review process under the Kyoto Protocol. Attention will continue to be paid to the dialogue with Parties on ITL-related issues through the registry system administrators forum. 25. Regarding objective 4 (development of decisions relating to measurement, reporting and verification), RDA is expected to be actively involved in and, in many areas, lead the development of the measurement, reporting and verification guidelines that will translate the rules and modalities for measurement, reporting and verification to be agreed at COP 15 into practical steps that will facilitate the reporting and review process. Options relating to measurement, reporting and verification under the future regime should be elaborated and analysed; following the agreement of Parties on the rules and modalities for measurement, reporting and verification, specific guidelines will need to be developed. The impact on RDA-supported information systems of secretariat-wide importance, such as the GHG database, CAD and ITL, should be assessed, transformed into the form of information technology requirements enabling, to the extent possible, an early start to technical work on the development or modification of the systems concerned. RDA is expected to support the policy-related aspects of

12 Page 12 negotiations by Parties as an authoritative source of data and information on climate policy action and approaches. Table 4. Resources of the Reporting, Data and Analysis programme Difference between and Amount % Core budget a Personnel b Non-personnel Total Number of posts by category 1 D-1, 2 P-5, 5 P-4, 8 P-3, 3 P-2, 8 GS Posts 1 D-1, 2 P-5, 7 P-4, 8 P-3, 3 P-2, 9 GS 2 P-4, 1 GS Total Fee-based income (international transaction log) c Total Supplementary fund d Total Proposed additional core budget related to agreed outcomes under the Bali Road Map e Total Abbreviations: D = Director, P = Professional, GS = General Service. a An overview of the proposed core programme budget for the biennium by programme is contained in table 3 of document FCCC/SBI/2009/2. An overview of the core programme budget for the biennium by programme is contained in table 1 of document FCCC/SBI/2007/8. b All staff costs including General Temporary Assistance and overtime. c The proposed international transaction log budget for the biennium is contained in document FCCC/SBI/2009/2/Add.3. The international transaction log budget for the biennium is contained in document FCCC/SBI/2007/8/Add.2. d Estimated resource requirements for financing from the Trust Fund for Supplementary Activities as detailed in documents FCCC/SBI/2007/8/Add.2 and FCCC/SBI/2009/2/Add.2 for the bienniums and , respectively. Actual resource requirements evolve during the bienniums as and when the secretariat receives new mandates. e The proposed additional core budget for the biennium by programme is contained in table 11 of document FCCC/SBI/2009/2.

13 Page 13 Figure 2. Organization of the Reporting, Data and Analysis programme Management and Coordination Review and Analysis Data Management Integrated Information Systems C. Financial and Technical Support 26. The overall purpose of the Financial and Technical Support programme (FTS) is to provide support to Parties, especially non-annex I Parties, in the implementation of the Convention and its Kyoto Protocol in the following areas: the facilitation of the mobilization of financial resources under the Convention and its Kyoto Protocol; national communications from non-annex I Parties; national adaptation programmes of action (NAPAs); capacity-building; and education, training and public awareness. 27. The basic mandates are contained in several Articles of the Convention and its Kyoto Protocol. This includes Article 4 (on commitments), Article 6 (on education, training and public awareness), Article 8 (on the secretariat), Article 11 (on the financial mechanism) and Article 12 (on communication of information related to implementation) of the Convention, as well as Article 10 (containing, inter alia, provisions relating to capacity-building, education, training and public awareness as well as national communications) and Article 11 of the Kyoto Protocol (containing, inter alia, provisions relating to funding). 28. Through the work programme, FTS devotes a significant part of its resources to supporting the work of Parties under the AWG-LCA, in addition to undertaking work on all matters under its responsibility in the context of activities mandated by the Subsidiary Body for Implementation (SBI), the COP and the CMP. Given the strong links between the issues addressed under the AWG-LCA and the ongoing work of FTS, in particular on financial resources, capacity-building and reporting, specific emphasis is placed on trying to ensure coherence and coordination among ongoing activities under the SBI and the AWG-LCA. 29. The challenge in the biennium will be to ensure that FTS is able to successfully support Parties in implementing the provisions of an agreed outcome of the negotiations on long-term cooperative action under the Convention, of relevant COP and CMP decisions, and of conclusions of the subsidiary bodies. FTS will need to respond to mandates relating to enhanced action on capacitybuilding, and the provision of financial resources and investment to support action on mitigation and adaptation, and technology cooperation. 30. The objectives, expected results and performance indicators for FTS are shown in table 5, and its resources are shown in table 6. The organization of the programme is illustrated in figure 3.

14 Page 14 Table 5. Objectives, expected results and performance indicators for the Financial and Technical Support programme Objective 1: to increase the understanding of Parties of financial resources available to non-annex I Parties and Parties with economies in transition for the funding of climate change initiatives, especially financial incentives to participate in the Convention and Kyoto Protocol processes, and options for funding to advance the future international response to climate change. (Article 4, paragraphs 3, 4, 5, 7 and 9, Article 8, paragraphs 2(b) and 2(c), and Article 11 of the Convention, Article 10(c) Article 11, and Article 12, paragraph 8, of the Kyoto Protocol, and decisions 6/CP.7, 27/CP.7, 5/CP.9, 6/CP.9, 8/CP.10, 3/CP.11, 5/CP.11, 1/CP.12, 2/CP.12, 3/CP.12, 28/CMP.1, 5/CMP.2 and 1/CMP.3) Parties are provided on a regular basis with information on financial resources available to assist developing country Parties in implementing mitigation and adaptation measures. Information on the implementation of guidance by the Conference of the Parties to the Global Environment Facility (GEF) and its implementing and executing agencies is made available. Parties are adequately supported in developing the operational modalities for financing that arise from the agreed outcomes under the Bali Road Map. Proportion of mandated reports and technical papers provided to Parties in a timely manner Number of visits to the section on the financial mechanism on the UNFCCC website Number of reports prepared by the operating entity of the financial mechanism made available by the UNFCCC secretariat in a timely manner Proportion of mandated technical papers prepared and activities carried out Proportion of mandated outputs delivered on time Objective 2: to enhance the capacity of Parties, and education, training and public awareness activities by Parties, in particular developing country Parties, for their active engagement and participation in implementing the Convention and its Kyoto Protocol. (Article 6 of the Convention, Article 10(e) of the Kyoto Protocol and decisions 2/CP.7, 3/CP.7, 2/CP.10, 11/CP.8, 2/CP.10, 3/CP.10, 7/CP.10, 4/CP.12, 6/CMP.2 and 9/CP.13) Parties are regularly provided with information on progress, effectiveness and gaps in capacity-building for Parties not included in Annex I to the Convention (non-annex I Parties) and Parties with economies in transition to effectively monitor and evaluate the implementation of the framework for capacity-building in developing countries established under decision 2/CP.7 and the framework for capacity-building in countries with economies in transition established under decision 3/CP.7 (capacity-building frameworks). The implementation of the capacity-building frameworks is facilitated through the operating entity (or entities) of the financial mechanism and with key implementing agencies, including United Nations agencies. Annual reports made available in a timely manner Number of partner agencies and organizations that contribute to the implementation of UNFCCC mandates for capacity-building

15 Page 15 Table 5 (continued) Developing countries are supported in building capacity in order to participate in the Convention and its Kyoto Protocol processes in a regionally balanced manner. Parties are regularly provided with information on progress achieved by Parties and relevant organizations in implementing Article 6 of the Convention, in support of a mandated review of the implementation of the amended New Delhi work programme on Article 6 of the Convention. Relevant organizations are mobilized to provide coordinated input to the five-year amended New Delhi work programme. The information network clearing house (CC:iNet) is useful for enhancing the exchange of information on activities under Article 6 of the Convention. Number of people trained under the secretariat s fellowship programme, and the secretariat s training programmes and workshops by geographical region Reports made available in a timely manner Number of organizations mobilized by the secretariat to provide input to the amended New Delhi work programme Number of registered and unregistered users in different world regions Level of satisfaction with CC:iNet of users surveyed Objective 3: to support non-annex I Parties in preparing and submitting national communications and any other reporting requirements required for the implementation of the Convention. (Article 4 and Article 12, paragraph 1, of the Convention, decisions 17/CP.8, 3/CP.8, 8/CP.11 and 1/CP.13 (the Bali Action Plan)) under the Convention Non-Annex I Parties are regularly provided with information, guidelines, methods and tools for preparing and submitting their national communications. Parties receive timely, comprehensive and accurate information on GEF support available or provided to non-annex I Parties for the preparation of national communications. Support is provided to Parties in developing implementation modalities on long-term cooperative action under the Convention related to communication of information by non-annex I Parties. Information communicated by non-annex I Parties is easily accessible by all Parties. Proportion of mandated reports made available Amount of training materials and CD-ROMs distributed to Parties Proportion of mandated reports made available Proportion of outputs delivered on time Proportion of mandated technical papers/reports made available Proportion of mandated outputs delivered on time Objective 4: to support the least developed country Parties in addressing their special needs and concerns with regard to funding and technical support under the Convention. (Article 4, paragraph 9, of the Convention, decisions 2/CP.7, 5/CP.7, 3/CP.11, 4/CP.11, 8/CP.13 and 5/CP.14) The work of the Least Developed Countries Expert Group (LEG) is facilitated. Collaboration between the LEG and the GEF and its agencies is facilitated, and Parties are well informed of procedures for the implementation of national adaptation programmes of action (NAPAs) under the GEF. Number of LEG reports prepared and amount of information compiled in support of the work programme of the LEG Number of LEG meetings held Number of joint activities between the GEF and the LEG facilitated by the secretariat

16 Page 16 Table 5 (continued) Least developed country (LDC) Parties are assisted in addressing their priority capacity-building needs. LDC Parties are assisted in implementing all elements of the LDC work programme. Number of LDC experts trained in the preparation and implementation of NAPAs, through workshops, manuals, information documents, and so on Number of requests by LDC Parties addressed by the LEG on elements of the LDC work programme Strategies 31. The programme will spend about 30 per cent of its proposed core budget on achieving the expected results under objective 1 (financial resources available to non-annex I Parties and Parties with economies in transition). FTS will continue to implement the existing mandates on the review of the financial mechanism and on the Adaptation Fund Board. It will also implement agreed outcomes under the Bali Road Map and any guidance/mandate relating to the enhancement and scaling up of financial resources to support mitigation and adaptation measures, and the establishment of a financial mechanism to deliver the resources for the biennium The programme will undertake an assessment of the decisions taken at COP 15 and CMP 5 in order to further identify the actions to be undertaken by the secretariat. The programme will engage with United Nations agencies, IGOs and key stakeholders assisting developing countries to build the capacity to access resources and available financial instruments to support climate actions. The programme will ensure that Parties are well informed of financial resources available and are adequately supported in the development of operational modalities. FTS will also ensure that the guidance to the operating entity or entities of the financial mechanism is facilitated. 32. The programme will spend about 20 per cent of its proposed core budget on achieving the expected results under objective 2 (capacity-building, education, training and public awareness). FTS will continue to cooperate with the operating entity or entities of the financial mechanism of the Convention and its Kyoto Protocol, implementing agencies and relevant organizations to facilitate the implementation of the framework for capacity-building in developing countries established under decision 2/CP.7 and the framework for capacity-building in countries with economies in transition established under decision 3/CP.7 and to ensure that existing mandates are fully implemented. It will further build on its present cooperation with relevant United Nations agencies and organizations in order to facilitate increased synergy and information sharing on education, training and public awareness, and it will support the review of the amended New Delhi work programme on Article 6 of the Convention. Particular attention will be paid to addressing any new and additional requirements resulting from an agreed outcome on long-term cooperative action to address climate change. In this regard, the programme will contribute to enhanced coordination and coherence of capacity-building, and outreach activities and programmes undertaken by the implementing agencies and relevant organizations. The programme will enhance the sharing and reporting of experiences and lessons learned by improving its information systems. In particular, efforts will focus on the continued improvement of the usefulness and relevance of the enhanced information network clearing house (CC:iNet), which is being implemented in line with the evaluation of the CC:iNet 8 presented to Parties at the twenty-seventh session of the SBI. 33. The programme will spend about 20 per cent of its proposed core budget on achieving the expected results under objective 3 (support for non-annex I Parties in preparing and submitting national 8 FCCC/SBI/2007/26.

17 Page 17 communications). FTS will continue to facilitate the process of the preparation of national communications, including dealing with aspects regarding financial and technical support. The programme will respond to any new mandates relating to non-annex I Parties, and will facilitate action on the provision of financial resources in this regard. It will continue dealing with the information contained in national communications and will provide, upon request, support to subregional initiatives for their work on GHG inventories. FTS will continue to maintain up-to-date information on the UNFCCC website on all aspects of national communications from non-annex I Parties. 34. The programme will spend about 20 per cent of its proposed core budget on achieving the expected results under objective 4 (support to least developed country (LDC) Parties). FTS will facilitate the work of the Least Developed Countries Expert Group (LEG) by supporting meetings and through technical support in implementing the work programme of the LEG. The programme will cooperate with the Global Environment Facility and its agencies, and relevant organizations to facilitate the preparation and implementation of NAPAs. FTS will facilitate the provision of information, technical assistance and capacity-building to assist LDC Parties in designing and implementing adaptation activities identified in NAPAs and in implementing other elements of the LDC work programme. The programme will support the LEG in promoting awareness of NAPA projects in organizations in a position to finance the implementation of NAPA activities. The programme will provide feedback to LDC Parties on their draft NAPAs and will facilitate the dissemination of outputs from the LEG that promote the implementation of NAPAs and the other elements of the LDC work programme identified in decision 5/CP The programme will spend about 10 per cent of its proposed core budget on activities relating to the coordination of the SBI sessions during 2010 and FTS will coordinate within the secretariat the substantive preparation of SBI sessions, provide support to these sessions and will ensure the interaction of the SBI with other subsidiary bodies. It will coordinate the preparation of documents for the sessions, taking the lead on developing provisional agendas, and ensuring the control of the quality and timeliness of documents, and will advise and support the Chair(s) and the Bureau of the SBI during and between sessions.

18 Page 18 Table 6. Resources of the Financial and Technical Support programme Difference between and Amount % Core budget a Personnel b Non-personnel Total Number of posts by category 1 D-1, 1 P-5, 5 P-4, 4 P-3, 3 P-2, 7 GS Posts 1 D-1, 2 P-5, 5 P-4, 5 P-3, 3 P-2, 8 GS 1 P-5, 1 P-3, 1 GS Total Supplementary fund c Total Proposed additional core budget related to an agreed outcome under the Bali Road Map d Total Abbreviations: D = Director, P = Professional, GS = General Service. a An overview of the proposed core programme budget for the biennium by programme is contained in table 3 of document FCCC/SBI/2009/2. An overview of the core programme budget for the biennium by programme is contained in table 1 of document FCCC/SBI/2007/8. b All staff costs including General Temporary Assistance and overtime. c Estimated resource requirements for financing from the Trust Fund for Supplementary Activities as detailed in documents FCCC/SBI/2007/8/Add.2 and FCCC/SBI/2009/2/Add.2 for the bienniums and , respectively. Actual resource requirements evolve during the bienniums as and when the secretariat receives new mandates. d The proposed additional core budget for the biennium by programme is contained in table 11 of document FCCC/SBI/2009/2. Figure 3. Organization of the Financial and Technical Support programme Coordination and Management Technical Support for Developing Countries Financial Cooperation and Capacity-building

19 Page 19 D. Adaptation, Technology and Science 36. The overall purpose of the Adaptation, Technology and Science programme (ATS) is to support Parties in developing adaptation strategies and actions to meet their specific needs and concerns relating to adaptation to the adverse effects of climate change and to the impacts of the implementation of response measures. ATS further supports the UNFCCC process in enhancing the development and transfer of technologies, and in improving the methodological and scientific bases for international climate policy and action by Parties, including actions to reduce emissions from deforestation and forest degradation in developing countries (REDD). The programme is responsible for coordinating support for the Subsidiary Body for Scientific and Technological Advice (SBSTA). 37. The basic mandates for this programme are contained in several Articles of the Convention, including Article 4 (on commitments), Article 5 (on research and systematic observation), Article 9 (on the SBSTA) and Article 12 (on the communication of information related to implementation). Further basic mandates are contained in Articles of the Kyoto Protocol, including Article 2, paragraph 3, (on implementing policies and measures in such a way as to minimize adverse effects) and Article 3, paragraph 14, (on implementing commitments in such a ways as to minimize adverse impacts). Additional mandates given in decisions and conclusions of the Convention and Kyoto Protocol bodies. Key decisions are stipulated under each programme objective in table Through the work programme, ATS devotes a significant part of its resources to supporting the work of Parties under the AWG-LCA and the AWG-KP, in addition to undertaking work on all matters under its responsibility in the context of mandated activities by the SBSTA, the SBI, the COP and the CMP, including support to the Expert Group on Technology Transfer (EGTT). Given the strong links between the issues addressed under the AWGs and the ongoing work of ATS in particular on adaptation, technology, mitigation, REDD, and land use, land-use change and forestry (LULUCF) specific emphasis is placed on trying to ensure coherence and coordination among those relevant ongoing activities under the subsidiary bodies and the AWGs. 39. The challenges in the coming biennium will be to ensure that ATS is able to successfully support Parties in implementing the provisions of the agreed outcomes under the Bali Road Map, COP and CMP decisions, and conclusions of the subsidiary bodies. This will include activities to support enhanced action on adaptation, technology development and transfer, and mitigation of climate change, particularly REDD. 40. The objectives, expected results and performance indicators for ATS are shown in table 7, and its resources are shown in table 8. The organization of the programme is illustrated in figure 4.

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