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The Analysis of Treaty Structure and Performance

Treaty Status and Amendments (Almira Sugatan)
Structure, Effective Mechanisms and Behavioral Pathways (Lizbeth Buriel)
Sustained Concern and Regime Effects (Catherine Hwang)
It's Capacity, Stupid! Sources and Variation (Lizbeth Buriel)
Performance: Assessing Compliance and Effectiveness (Almira Sugatan)
Citations (Catherine Hwang)
Complete Text of the United Nations Framework Convention on Climate Change
Complete Text of the Kyoto Protocol

Treaty Status and Amendments

The Structure of the Convention (13)

The components of the Convention are: the Secretariat; Executive Direction and Management; Science and Technology; Implementation; Planning, Coordination and Emerging Issues; Intergovernmental and Government Affairs; and Information, Outreach and Administrative Services.

The main functions of the secretariat are to make practical arrangements for sessions of the Convention bodies, assist in the implementation of commitments to the Convention, provide support to negotiations and coordinate with other secretariats of related institutions. The specific tasks of the Secretariat are the preparation of official documents for the COP and subsidiary bodies, coordination of reviews of Annex I Parties regarding national communications and the compilation of green house gas (ghg) inventory data.

The Executive Direction and Management, the office of the Executive Secretary, supports the Executive Secretary in the overall management of the secretariat, developing policies and in ensuring the coherence of the secretariat's work. The Executive Secretary gives advice to the Convention bodies and their Bureaus, and promotes partnerships with other organizations.

Science and Technology deals with scientific and technical studies conducted for the Convention. Its tasks include developing methods that improve data accuracy, promote climate-friendly technologies, explain methods and tools that evaluate adaptation strategies, and maintain close contact with the IPCC. Science and technology is also involved in drafting guidelines and issues that are related to carbon sinks.

Implementation assists countries in implementing their commitments. It is also mitigates measures for developing countries that may be vulnerable to climate change.

Planning, Coordination and Emerging Issues analyzes of new issues related to climate change. It supports the Executive Secretary in strategic planning, and it monitored the consistency of the secretariat's introductory work for COP 1 (e.g. on compliance and reporting obligations).

Intergovernmental and Government Affairs is responsible for the organization of the agendas for the COPS, arranges COP Bureau meetings, and provides support for the COP President. It also finds the venues for the COP sessions, and translates documents in the six UN languages.

Information, Outreach and Administrative Services distributes information on climate change and the Convention. Their main objective is to raise public awareness about climate change and exchange information between the Parties and the Secretariat. It also links the different organizations engaged in climate change related work. And is responsible for the administrative and financial management of the secretariat, financial resources and staff, and coordinates with the United Nations and the host Government on administrative matters.

Signatory States of the Convention

The text of the United Nation's Framework Convention on Climate Change was adopted at the UN Headquarters in New York in May 1992 and was open for signature the following month. By June 13, 1993, the Convention received 166 signatures and was entered into force on March 21, 1994. Here is the table of signatory states of the UNFCCC as of September 7, 2000.

Status of the Convention

As of September 2000, 186 nation states have ratified the Convention but it was entered into force on March 21, 1994. Since 1992, UNFCCC has had six Conference of the Parties: COP 1 in Berlin, COP 2 in Geneva, COP 3 in Kyoto, COP 4 in Buenos Aires, COP 5 in Bonn, and COP 6 at the Hague.

COP 1 reviewed the commitments of developed countries in their green house gas emissions to 1990 levels by the year 2000. The Parties agreed that new commitments were needed to be made for the post-2000 period which they called it "Berlin Mandate". A new subsidiary body, the Ad hoc Group on the Berlin Mandate was established to draft "a protocol or another legal instrument" for adoption at COP 3 in 1997 (6). 

COP 2 in Geneva checked the progress of the Berlin Mandate. Parties stressed the need to strengthen the Climate Change Convention. The Geneva Declaration endorsed the 1995 Second Assessment Report of the Intergovernmental Panel on Climate Change (IPCC) "as currently the most comprehensive and authoritative assessment of the science of climate change, its impacts and response options now available." The formal decisions made at COP 2 included an agreement on the contents of the first national communications that developing countries were to start submitting in April 1997 (6). 

Kyoto' COP 3 The Kyoto Protocol commits Annex I Parties (mostly industrialized nations) to individual, legally-binding targets to limit or reduce their greenhouse gas emissions, adding up to a total cut of at least 5% from 1990 levels in the period 2008-2012 (16).

COP 4 in Buenos Aires addressed the implementation of the Convention and started to explore the future implementation of the Kyoto Protocol.

COP 5 in Bonn reviewed political and technical issues that will determine how to achieve the goal of minimizing emissions of carbon dioxide and other greenhouse gases over the critical first decade of the 21st century (22).

During the 6th Conference of the Parties, after two weeks of intensive negotiations, ministers and diplomats suspended talks on making the Kyoto Protocol operational. They were unable to finalize the amount of reduction of greenhouse gases that would be beneficial in helping prevent climate change but they were able to outline the package of financial support and technology transfer that will help developing countries take part in global action on climate change (7).

The Kyoto Protocol

The Kyoto Protocol resulted from COP 3. The Parties thought it necessary to reduce ghg emissions to 1990 levels in order to further the prevention of climate change. But recently, United States President George W. Bush has abandoned the Protocol saying that the protocol could damage the U.S. economy. But scientists believe that the protocol will help prevent climate change that could lead to severe floods and droughts, rising sea levels and an increase in malaria and respiratory disease.

The United States emits about one quarter of the world's greenhouse gases (10).

Signatories and Ratification of the Kyoto Protocol as of March 19, 2001.

Structure, Effective Mechanisms and Behavioral Pathways [TOP]

Article 8, in the Convention on Climate Change established a mandate that created the secretariat. Since 1996, the secretariat has been located in Bonn, Germany. Under this mandate, the secretariat services the COP, subsidiary bodies and the Bureaux. The secretariat makes practical arrangements for sessions of the COP. It also assist parties in implementing their commitments, provide support of the on-going negotiations and coordinates information with the secretariats of other international bodies that are associated with Climate Change. The secretariats most notable interaction occurs between the Global Environment Facility (GEF) and the Intergovernmental Panel on Climate Change (IPPC). The specific functions of the secretariat include the preparation of official documents for the bodies that are involved in the on-going negotiations. The secretariat also completes in-depth reviews of national communications and inventory data of greenhouse gas emissions from Annex I countries. Another important aspect of the secretariat is to support the progress of the Kyoto Protocol. The secretariat has gained an increase of technical expertise to deal with the implementation of the Kyoto Protocol. (19).

In order to support the on-going negotiations the secretariat is organized into six programs. The Executive Direction and management (EDM) supports the Executive Secretary in the overall management of the secretariat. It helps in developing policies and gives advice to the convention bodies. Science and Technology (S&T) supports the Subsidiary Body of Scientific and Technological Advice (SBTA). The implementation (IMP) assists countries in implementing their commitments and is responsible for support to the Subsidiary Body for Implementation (SBI). Planning, Coordination and Emerging Issues (PCEI) provides support to the negotiations of the Kyoto Protocol under the SBSTA and the SBI. The Intergovernmental and Conference Affairs (IA) is in charge of organizing the sessions of the COP. Information, Outreach and Administrative Service (OAS) works to raise public awareness on the consequences of climate change (19).

The United Nations Framework Convention on Climate Change wanted the Parties to promote and cooperate in research and observation of climate change, including through the support to existing international programmes. Cooperation with international organization such as scientific bodies, UN bodies and other conventions is important to the progress of the convention. Through the COP, the Convention seeks to utilize all the services and cooperation of and information provided by international organizations, intergovernmental and non-governmental parties. This ensures that climate change activities are coherent with the Convention process. During the first session of the COP, the financial support for the Convention was developed. During this, four trust funds and the other parts of the financial mechanism were created. One of the trust funds is The Special Trust Fund for the Core Administrative Budget of the United Nations Framework on Climate Change (UNFCCC). This is the core budget, which is funded by contributions from all the Parties. The Special Trust Fund for Facilitating Participation of the Parties in the UNFCCC process, the Special Trust Fund for Voluntary Supplementary Financing of the approved activities under the UNFCCC and the Special Trust Fund for the Host Country Contributions to the UNFCCC were also created to provide support for the implementation of the Convention(15).

Providing assistance for the implementation of the Convention is essential to its progress. During the convention, developed countries agreed to provide new and additional funds and resources to help developing countries meet their commitments their concern over climate change. One of the major sources that assist developing countries is provided for by the Convention's financial mechanism. The financial mechanism's role is to transfer funds and technology to developing countries and to countries with economies in transition. The mechanism is guided by and accountable to the Conference of the Parties (COP), which decides on policies, program priorities and Parties eligibility. The COP provides guidance to the financial mechanism based on advice that it receives from the SBI. The Convention assigned the role of operating the financial mechanism to the Global Environment Facility (GEF). The World Bank, the UN Development Programme (UNEP) in 1990, established the GEF. The GEF funds complement regular development assistance. It offers developing countries the opportunity to incorporate environmentally friendly features that address global environmental concerns. The technical assistance and investment that the GEF provides supports various enabling activities. The activities help countries to develop the institutional capacity for developing and carrying out strategies and projects. The GEF approved projects and activities are carried out by a wide range of executing agencies such as government ministries, non-governmental organizations (NGOs), UN bodies, regional multilateral institutions and private firms(12).

The mechanisms for the implementation of the UNFCCC are very essential to enforce compliance. In order to maintain effective mechanisms, monitoring the Parties commitment to the UNFCCC and the Kyoto Protocol are very important. Each Party must submit a national communication, which demonstrates their commitment by providing data on their amount of the emissions they emit. With the aid of the financial mechanism, developing countries are able to submit their own national communications. These national communications are submitted to the secretariat with the help of SBI and SBTA they perform an in-depth review of each communication submitted after which they present their findings to the COP. The COP then decides on further action based on the results of the review.

Under the Kyoto Protocol several mechanism were created to support the implementation of the UNFCCC. The Kyoto Protocol created programs to provide initiatives to the Parties for compliance and is currently working out how things should be implemented. One of these programs is focused on the issues surrounding land-use, land-use change and forestry sector that is known as LULUCF. In the Kyoto Protocol, under this plan certain human-activities in the land-use, land-use change and forestry sector that remove greenhouse gases form the atmosphere, known as carbon sinks, such as afforestation, reforestation and tackling deforestation may be used by Annex I parties to offset their emissions targets. In participating in this program and stopping activities that deplete carbon sinks, Annex I parties will be able to subtract this from the amount of emissions they are allowed to emit. Another program that was created to help Annex I Parties meet their emissions targets is the Joint Implementation, which allows Annex I Parties to implement projects that reduce greenhouse gases emissions by sources or enhance removals by sinks in other Annex I countries and to credit the emission reduction units against their own emission targets. The Clean Development Mechanism (CDM) allows Annex I Parties to implement projects that reduce greenhouse gas emissions in non-Annex I Parties. Annex I Parties can then use these emissions reduction to contribute to compliance with their emission target. Emissions trading are another mechanism that that allows Annex I Parties to transfer part of their assigned amount of emissions they are allowed to emit to another Annex I Parties. Negotiation on these mechanisms will take place when the Parties resume during COP 6 where they plan to work on compliance and implementation standards (14).


Annex I Countries

Non-Annex I Countries

Sustained Concern and Regime Effects [TOP]

Since the late 1980s, the governments around the world have been putting more effort into responding to climate change and greenhouse gas issues than ever before. The increasing attention to climate change issues from the international arena have been influencing the development of national policies around the world. What was once known to be a subject matter of no such importance, the climate change issue has now surfaced as an important part of the international agenda(4).  In 1977, the international focus on climate change issues started with the Montreal Protocol on substances that deplete the ozone layer, while in 1988, the Toronto Conference on climate change first proposed reduction of carbon dioxide emissions. Continuing on in the later years from 1988-1997, over fourteen major international meetings and agreements on controlling greenhouse gas outputs were held. But what has had the most recent and largest impact on national policies came in 1997 with the Kyoto Protocol, where the parties agreed to reduce greenhouse gas emissions and set binding targets on developed countries (21).

The Kyoto Protocol is the proposed international agreement, which has yet to be ratified by the United States or other developed countries, is the driving force behind the national discussions of policy issues. Although the United States participation is crucial for the agreement to succeed, the U.S. President George W. Bush has said that he would not support Kyoto Protocol in March of 2001. This response brought about frustration among many other countries, but European nations, China, Russia, Iran, Japan, and Canada have all pledged to move the climate protocol forward despite the U.S. opposition. Rather, the Kyoto treaty on global warming could be ratified without the United States, who is the world's biggest polluter. According to the Dutch Environment Minister Jon Pronk, he still hopes that the United States will join global negotiations on implementing the treaty, but the 1997 agreement could exclude the U.S. and be well on the way with the ratification of 55 other countries(11).

The European Union(EU) have been leading the international climate change efforts and the world delegations have plans to reconvene in July for another attempt to draft details of the treaty on how to control gases that trap heat in the atmosphere. There has been a continuing effort amongst the sovereign states to raise awareness of global warming and the importance of ratifying the Kyoto Protocol. In order to prove how damaging and harmful global warming could be for the world, there have been an ongoing researches around the globe. Two studies released in April, 2001, showed clearest link between the greenhouse gases and the global warming. The findings from these studies are yet the strongest evidence that show that greenhouse gases are in fact causing the Earth's oceans to warm. These results provide reasons for all nations around the world to see and believe the reality of global warming and its effects on the world. Based on parallel computer climate models, the new studies show a direct connection between temperatures and emissions of carbon dioxide and other gases that can trap heat within the atmosphere. The models showed that the ocean warming that has been measured over the last half-century is exactly what would be expected from the amount of greenhouse gases that have been emitted into the atmosphere(18).

Although the issue of global warming has been warned as a serious problem, President Bush continues to rule out the treaty as unfair because it could seriously damage the U.S. economy since the treaty would exempt China, India, and other developing countries from the touch restrictions on industrial emissions. The Bush administration is now drafting a proposal for combating global warming, which will be presented to U.S. allies later in the summer of 20001. Even though the Bush administration is not abiding to the implications of the treaty, there have been major corporations in the U.S., who have come forward saying that they will do what they can to fight the global warming(11).

Entergy Corporation, who is a major energy conglomerate, said that it plans to keep carbon dioxide emissions at current levels while increasing power production from its fossil fuel plants by 25 percent over the next four years. Carbon dioxide, which comes from burning fossil fuels, is a leading greenhouse gas that many scientists say is the cause of the global warming(3). This decision by Entergy is seen as a real breakthrough because Entergy is the first U.S. electricity company to come out publicly and committing to fight the warming. Increasingly, more people are realizing the danger of global warming and coming forward to acknowledge the roles they play in harming the earth. Ford Motor Co. also said that they understand the role the auto industry play in global warming and agreed to help find ways to reduce auto emissions. Although they do not have any plans for addressing the global warming problems yet, they are forming a team of senior executives to develop a strategy to consider a range of measures to reduce pollutants from Ford's products and manufacturing processes(8).

It's Capacity, Stupid! Sources and Variation [TOP]

The capacity for effective action resides in both the bodies that were created by the Framework Convention on Climate Change and also at the sovereign state level. Both of these areas are important because both the UNFCCC and the Parties provide the necessary support to help reduce emissions standards. Without one of these areas the implementation and the progress that this Convention has made would not be as effective or as far reaching. Through the assistance that the UNFCCC provides and its programs 187 countries are involved in the convention. It is also through the sovereign state level, Annex I Parties helping non-Annex I parties that have allowed the developing countries to gain the funds and technology to participate in the reduction of greenhouse gases emissions (5).

Under the UNFCCC both developed and developing countries are committed to adopting national programs for dealing with climate change and developing strategies for adapting to its impacts. The Parties are to take climate change into account in their relevance regarding, social, economic, and environmental implications. The Convention and the Parties cooperate with scientific and technical experts to deal with the concern of climate change. The conventions goal with the help of the experts and other organizations is to minimize the effects of response measures on developing countries, promote education, public awareness and exchange of information related to climate change. The UNFCCC provides a unifying framework of institutions and processes that are needed to implement change to deal with concern over climate change. Regardless of the disagreements that have arisen regarding the Kyoto Protocol and COP 6, the convention's Parties will continue to meet on a regular basis to discuss the progress of the convention (5).

Sovereign state level involvement is equally important for without their voluntary compliance and commitment to the UNFCC, the treaty was not have been able to enter into force. Education and public awareness has been vital to the progress of the convention. Mitigation, adaptation and research mush be structured to meet the needs of each individual country. Countries should establish policies to adapt to the new information and changing circumstances that they face. By balancing various policies that are all aimed at cutting emissions, national policymakers can reduce the risks of rapid climate change while promoting sustainable development.

The major leaders of this treaty have been the Annex I countries that have the capacity and resources to deal with the issue of climate change. Under the convention the Annex I Parties are committed to provide assistance through funds and clean technology to non-Annex I Parties to help them meet their commitment to the convention. Among the leaders of the Annex I Parties have been the United States and the European Union. The decision by President Bush has drastically affected the implementation of the Kyoto Protocol. In order to be enforce, it needs to be ratified by 55 Annex I or developing countries. The United States  and the European Union were viewed as the leaders of the ratification of the Kyoto Protocol by Annex I countries and the decision by the United States may influence other countries. The entire international community will have to wait until COP 6 to see if the United States will reconsider its position .

Performance: Assessing Compliance and Effectiveness [TOP]

The United Nation's Framework Convention on Climate Change has been successful in its goal of promoting awareness regarding climate change issues. Frequently in the news, we hear and see information about rising average temperatures, melting glaciers, and the results that have or may occur due to theses climatic changes. The results of research provided by the WMO and its counterpart among the member nations provide the authoritative scientific voice on the state and behavior of the Earth's atmosphere and climate. They provide the authoritative scientific voice on the state and behavior of the Earth's atmosphere and climate. WMO created the World Climate Program (WCP) in 1979 to collect and preserve climate data to help governments prepare national development plans and determine their policies in response to the changing climate situation (2). WMO and UNEP also created the Intergovernmental Panel on Climate Change that completed its first assessment report that indicated with certainty an increase in the concentration of greenhouse gases due to human activity. It is through this report, that governments were able to make important policy decisions and the implementation of the UN Framework Convention on Climate Change which was signed by 166 countries at Rio de Janeiro, Brazil in 1992 (1).

Stopping climate change altogether is a goal that has been harder for the UNFCCC to reach. While the treaty has had success in creating cooperation among nation states, the compliance to the treaty and the Kyoto Protocol is yet to be determined. Adopted by the Third Conference of the Parties to that convention (COP 3) in December 1997, the Kyoto Protocol contains legally binding reduction targets for all major greenhouse gases. It is a major step towards prevention the threat of climate change. The Parties adopted different targets for industrialized countries for the period 2008-12 averaging 5.2 percent (17). The Protocol will be enforced "on the ninetieth day after the date on which not less than 55 Parties to the Convention…have deposited their instruments of ratification, acceptance, approval or accession" (20). So far, there are 84 countries that have signed and only thirty-three that have ratified the Protocol. Once the Kyoto Protocol has been entered into force, compliance to the laws and agreements will be monitored and its effectiveness will be measured.

Unfortunately, while the UNFCCC and the Kyoto Protocol have been successful in increasing information and awareness regarding the issues of climate change, there is no real evidence that they have successfully reduced the risk of climate change. The Kyoto Protocol hopes to reduce greenhouse gas emissions of nation states but it is not guaranteed that it will significantly prevent climate change in the future. Once it is entered into force, it will take a few years before the changes, if any, can be measured and recorded. Aside from the Protocol, no real measure to combat climate change has been taken by the UNFCCC.
In general, the UNFCCC has been successful in increasing public awareness regarding issues of climate change. The Kyoto Protocol, would not be considered successful unless entered into force. The results of that, too, have to wait a few more years before we can judge its effectiveness. It is too early to say whether the treaty is successful or not. There is room for expansion and more controversial and radical steps to combat climate change may be taken in the future. What we can say so far is that it has not failed.

Citations [TOP]

1.  "About IPCC". http://www.ipcc.ch/about/about.htm (7 May 2001).

2.  "Basic Facts about WMO". http://www.wmo.ch/index-en.html (7 May 2001).

3.  Baker, Terry.  Global warming and energy demand.  New York: Routledge, 1995.

4.  Berger, John J.  Beating the heat: Why and how we must combat global warming.  Berkeley, California: Berkeley Hills Books, 2000.

5.  Betsill, Michele M.  Localizing Global Climate Change: Controlling Greenhouse Gas Emissions in U.S. Cities.  http://unfccc.org/resource/ghg/statrep2001.html  (7 May 2001).

6.  "Climate Change Information Sheet 19."  Climate Change Information Kit.  http://www.unfccc.int/resource/iuckit/fact19.html  (14 May 2001).

7.  "Climate Change Talks Suspended Negotiations to Resume in 2001."  http://cop6.unfccc.int/pdf/pressreloutcome1.pdf  (14 May 2001).

8.  "Electric utility to fight warming."  http://www.greenhousenet.org/news/may-2001/electricutility.html  (16 May 2001).

9.  "Financing action under the Convention."  http://www.unfccc.org/resource/iuckit/fact28.html  (17 May 2001).

10.  "Global Warming:  U.S. turns its back on Kyoto."  http://www.cnn.com/SPECIALS/2001/globalwarming/  (14 May 2001).

11.  "Global Warming Treaty could be ratified without U.S."  http://www.greenhousenet.org/news/may-2001/warmingtreaty.html (16 May 2001).

12.  "Guide to the Climate Change Negotiation Process- Financial mechanism."  http://www.unfccc.org/resource/process/components/institution/finance.html  (17 May 2001).

13.   "Guide to the Climate Change Negotiation Process and the Secretariat."  http://www.unfccc.int/resource/process/components/institution/secret.html  (14 May 2001).

14.  "Issues in the Negotiating Process: Land use, land-use change and forestry under the Kyoto Protocol." http://www.unfccc.org/issues/lulucf.html  (17 May 2001).

15.  "Issues in the Negotiating Process: Financial Mechanism."  http://www.unfccc.org/issues/financemech.html  (17 May 2001).

16.   "The Kyoto Protocol."  Guide to the Climate Change Negotiation Process.  http://www.unfccc.org/resource/process/components/response/respkp.html  (14 May 2001).

17.  Ott, Hermann E. "The Kyoto protocol: unfinished business. (United Nations Framework Convention on Climate Change)."  http://www.findarticles.com/m1076/n6_v40/20979663/p1/article.jhtml (16 May 2001).

18.  "The National Center for Public Policy Research"  http://www.nationalcenter.org/ (16 May 2001).

19.  "The Secretariat." Guide to the Climate Change Negotiation Process and the Secretariat.  http://www.unfccc.org/resource/process/components/institution/secret.html  (18 May 2001).

20.   "The United Nations Framework Convention."  http://www.unfccc.int/resource/convkp.html  (16 May 2001).

21.  "The 1987 Montreal Protocol on substances that deplete the ozone layer."  http://www.unep.org/ozone/mp-text/shtml  (16 May 2001).

22.   Wüstenhagen, Axel.  "UNFCCC Climate Change Conference – COP 5."  http://www.unfccc.int/media/presse/cop5accl.html  (14 May 2001).