Chapters
111
1
Introductory Chapter
Coordinating Lead Authors:
David G. Victor (USA), Dadi Zhou (China)
Lead Authors:
Essam Hassan Mohamed Ahmed (Egypt), Pradeep Kumar Dadhich (India), Jos Olivier
(Netherlands), H-Holger Rogner (Germany), Kamel Sheikho (Saudi Arabia), Mitsutsune Yamaguchi
(Japan)
Contributing Authors:
Giovanni Baiocchi (UK / Italy), Yacob Mulugetta (Ethiopia / UK), Linda Wong (USA)
Review Editors:
Arnulf Grübler (IIASA / Austria), Alick Muvundika (Zambia)
This chapter should be cited as:
Victor D. G., D. Zhou, E. H. M. Ahmed, P. K. Dadhich, J. G. J. Olivier, H-H. Rogner, K. Sheikho, and M. Yamaguchi, 2014: Intro-
ductory Chapter. In: Climate Change 2014: Mitigation of Climate Change. Contribution of Working Group III to the Fifth
Assessment Report of the Intergovernmental Panel on Climate Change [Edenhofer, O., R. Pichs-Madruga, Y. Sokona, E.
Farahani, S. Kadner, K. Seyboth, A. Adler, I. Baum, S. Brunner, P. Eickemeier, B. Kriemann, J. Savolainen, S. Schlömer, C. von
Stechow, T. Zwickel and J.C. Minx (eds.)]. Cambridge University Press, Cambridge, United Kingdom and New York, NY, USA.
112112
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Chapter 1
Contents
Executive Summary � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 113
1�1 Introduction � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 114
1�2 Main messages and changes from previous assessment � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 115
1�2�1 Sustainable development
� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 115
1�2�2 The world macroeconomic situation
� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 116
1�2�3 The availability, cost and performance of energy systems
� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 118
1�2�4 International institutions and agreements
� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 120
1�2�5 Understanding the roles of emissions other than fossil fuel CO
2
� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 122
1�2�6 Emissions trajectories and implications for Article 2
� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 124
1�3 Historical, current and future trends � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 125
1�3�1 Review of four decades of greenhouse gas emissions
� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 125
1�3�2 Perspectives on mitigation
� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 129
1�3�3 Scale of the future mitigation challenge
� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 134
1�4 Mitigation challenges and strategies � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 137
1�4�1 Reconciling priorities and achieving sustainable development
� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 137
1�4�2 Uncertainty and risk management
� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 137
1�4�3 Encouraging international collective action
� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 139
1�4�4 Promoting investment and technological change
� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 139
1�4�5 Rising attention to adaptation
� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 140
1�5 Roadmap for WG III report � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 140
1�6 Frequently Asked Questions � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 141
References � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 143
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Introductory Chapter
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Chapter 1
Executive Summary
Since the first Intergovernmental Panel on Climate Change (IPCC)
assessment report (FAR) (IPCC, 1990a), the quantity and depth of sci-
entific research on climate change mitigation has grown enormously.
In tandem with scholarship on this issue, the last two decades have
seen relatively active efforts around the world to design and adopt
policies that control (‘mitigate’) the emissions of pollutants that affect
the climate. The effects of those emissions are felt globally; mitigation
thus involves managing the global commons and requires a measure
of international coordination among nations. But the actual policies
that lead to mitigation arise at the local and national levels as well
as internationally. Those policies have included, among others, market-
based approaches such as emission trading systems along with regula-
tion and voluntary initiatives; they encompass many diverse economic
development strategies that countries have adopted with the goal of
promoting human welfare and jobs while also achieving other goals
such as mitigating emissions of climate pollutants. These policies also
include other efforts to address market failures, such as public invest-
ments in research and development (R&D) needed to increase the pub-
lic good of knowledge about new less emission-intensive technologies
and practices. International diplomacy — leading to agreements such
as the United Nations Framework Convention on Climate Change
(UNFCCC) and the Kyoto Protocol as well as various complementary
initiatives such as the commitments pledged at the Copenhagen and
Cancun Conferences of the Parties — has played a substantial role in
focusing attention on mitigation of greenhouse gases (GHGs).
The field of scientific research in this area has evolved in parallel with
actual policy experience allowing, in theory, insights from each domain
to inform the other. Since the 4th assessment report (AR4) of IPCC
(2007a; b) there have been numerous important developments in both
the science and practical policy experience related to mitigation. There
is growing insight into how climate change mitigation policies inter-
act with other important social goals from the local to the national
and international levels. There is also growing practical experience
and scholarly research concerning a wide array of policy instruments.
Scholars have developed much more sophisticated information on how
public opinion influences the design and stringency of climate change
mitigation policies.
Meanwhile, events in the world have had a large impact on how scien-
tific researchers have seen the scale of the mitigation challenge and its
practical policy outcomes. For example, a worldwide economic reces-
sion beginning around 2008 has affected patterns of emissions and
investment in the world economy and in many countries has affected
political priorities on matters related to climate change mitigation.
The present chapter identifies six conclusions. Where appropriate, we
indicate not only the major findings but also our confidence in the
finding and the level of supporting evidence. (For an overview of the
language on agreement and confidence see Mastrandrea etal. (2011).
First, since AR4, annual global GHG emissions have continued
to grow and reached 49�5 billion tonnes (giga tonnes or Gt) of
carbon dioxide equivalents (CO
2
eq) in the year 2010, higher
than any level prior to that date, with an uncertainty estimate
at ± 10 % for the 90 % confidence interval� On a per-capita basis,
emissions from industrialized countries that are listed in AnnexI of the
UNFCCC are on average 2.5 times of those from developing countries.
However, since AR4, total emissions from countries not listed in AnnexI
have overtaken total emissions from the AnnexI industrialized coun-
tries (see glossary for AnnexI countries). Treating the 27 members of
the EU as a single country, about ten large countries — from the indus-
trialized and developing worlds — account for 70 % of world emissions.
(robust evidence, high agreement) [Section 1.3]. The dominant driving
forces for anthropogenic emissions include population, the structure
of the economy, income and income distribution, policy, patterns of
consumption, investment decisions, individual and societal behaviour,
the state of technology, availability of energy resources, and land-use
change. In nearly all countries it is very likely that the main short-term
driver of changes in the level of emissions is the overall state of the
economy. In some countries there is also a significant role for climate
policies focused on controlling emissions. (medium evidence, medium
agreement) [1.3]
Second, national governments are addressing climate change in
the context of other national priorities, such as energy security
and alleviation of poverty� In nearly all countries the most impor-
tant driving forces for climate policy are not solely the concern about
climate change. (medium evidence, medium agreement) [1.2 and 1.4].
Studies on policy implementation show that improvements to cli-
mate policy programs need to engage these broader national priori-
ties. Despite the variety of existing policy efforts and the existence of
the UNFCCC and the Kyoto Protocol, GHG emissions have grown at
about twice the rate in the recent decade (2000 – 2010) than any other
decade since 1970. (robust evidence, high agreement) [1.3.1]
Third, the current trajectory of global annual and cumulative
emissions of GHGs is inconsistent with widely discussed goals
of limiting global warming at 1�5 to 2 degrees Celsius above
the pre-industrial level (medium evidence, medium agreement).
[1.2.1.6 and 1.3.3] The ability to link research on mitigation of emis-
sions to actual climate outcomes, such as average temperature, has
not substantially changed since AR4 due to a large number of uncer-
tainties in scientific understanding of the physical sensitivity of the
climate to the build-up of GHGs discussed in Working Group I of the
IPCC (WGI). Those physical uncertainties are multiplied by the many
socioeconomic uncertainties that affect how societies would respond
to emission control policies (low evidence, high agreement). Acknowl-
edging these uncertainties, mitigating emissions along a pathway that
would be cost-effective and consistent with likely avoiding warming
of more than 2 degrees implies that nearly all governments promptly
engage in international cooperation, adopt stringent national and
international emission control policies, and deploy rapidly a wide array
of low- and zero-emission technologies. Modelling studies that adopt
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assumptions that are less ideal — for example, with international coop-
eration that emerges slowly or only restricted availability of some tech-
nologies — show that achieving this 2 degree goal is much more costly
and requires deployments of technology that are substantially more
aggressive than the least-cost strategies (robust evidence, medium
agreement) [1.3.3]. The assumptions needed to have a likely chance of
limiting warming to 2 degrees are very difficult to satisfy in real world
conditions (medium evidence; low agreement). The tenor of modelling
research since AR4 suggests that the goal of stabilizing warming at 1.5
degrees Celsius is so challenging to achieve that relatively few model-
ling studies have even examined it in requisite detail (low evidence,
medium agreement) [1.3.3].
Fourth, deep cuts in emissions will require a diverse portfolio
of policies, institutions, and technologies as well as changes in
human behaviour and consumption patterns (high evidence; high
agreement). There are many different development trajectories capable
of substantially mitigating emissions; the ability to meet those trajec-
tories will be constrained if particular technologies are removed from
consideration. It is virtually certain that the most appropriate policies
will vary by sector and country, suggesting the need for flexibility
rather than a singular set of policy tools. In most countries the actors
that are relevant to controlling emissions aren’t just national govern-
ments. Many diverse actors participate in climate policy from the local
to the global levels — including a wide array of nongovernmental orga-
nizations representing different environmental, social, business and
other interests. (robust evidence, medium agreement) [1.4]
Fifth, policies to mitigate emissions are extremely complex and
arise in the context of many different forms of uncertainty�
While there has been much public attention to uncertainties in the
underlying science of climate change — a topic addressed in detail in
the WGI and II reports — profound uncertainties arise in the socioeco-
nomic factors addressed here in WGIII. Those uncertainties include the
development and deployment of technologies, prices for major primary
energy sources, average rates of economic growth and the distribu-
tion of benefits and costs within societies, emission patterns, and a
wide array of institutional factors such as whether and how countries
cooperate effectively at the international level. In general, these uncer-
tainties and complexities multiply those already identified in climate
science by WGI and WGII. The pervasive complexities and uncertainties
suggest that there is a need to emphasize policy strategies that are
robust over many criteria, adaptive to new information, and able to
respond to unexpected events. (medium evidence, medium agreement)
[1.2].
Sixth, there are many important knowledge gaps that additional
research could address� This report points to at least two of
them� First is that the scholarship has developed increasingly sophisti-
cated techniques for assessing risks, but so far those risk management
techniques have not spread into widespread use in actual mitigation
strategies. Risk management requires drawing attention to the interac-
tions between mitigation and other kinds of policy responses such as
adaptation to climate change; they require more sophisticated under-
standing of how humans perceive risk and respond to different kinds
of risks. And such strategies require preparing for possible extreme
climate risks that may implicate the use of geoengineering technolo-
gies as a last resort in response to climate emergencies (limited evi-
dence, low agreement). Second, the community of analysts studying
mitigation has just begun the process of examining how mitigation
costs and feasibility are affected by ‘real world’ assumptions such as
possible limited availability of certain technologies. Improving this line
of research could radically improve the utility of studies on mitigation
and will require integration of insights from a wide array of social sci-
ence disciplines, including economics, psychology, political science,
sociology and others.
1.1 Introduction
Working Group III (WGIII) of the Intergovernmental Panel on Cli-
mate Change (IPCC) is charged with assessing scientific research
related to the mitigation of climate change. ‘Mitigation’ is the effort
to control the human sources of climate change and their cumula-
tive impacts, notably the emission of greenhouse gases (GHGs) and
other pollutants, such as black carbon particles, that also affect the
planet’s energy balance. Mitigation also includes efforts to enhance
the processes that remove GHGs from the atmosphere, known as
sinks (see glossary (AnnexI) for definition). Because mitigation low-
ers the anticipated effects of climate change as well as the risks of
extreme impacts, it is part of a broader policy strategy that includes
adaptation to climate impacts — a topic addressed in more detail in
WGII. There is a special role for international cooperation on mitiga-
tion policies because most GHGs have long atmospheric lifetimes
and mix throughout the global atmosphere. The effects of mitigation
policies on economic growth, innovation, and spread of technologies
and other important social goals also implicate international concern
because nations are increasingly inter-linked through global trade and
economic competition. The economic effects of action by one nation
depend, in part, on the action of others as well. Yet, while climate
change is fundamentally a global issue, the institutions needed for
mitigation exist at many different domains of government, including
the local and national level.
This chapter introduces the major issues that arise in mitigation policy
and also frames the rest of the WGIII Contribution to the AR5. First
we focus on the main messages since the publication of AR4 in 2007
(Section 1.2). Then we look at the historical and future trends in emis-
sions and driving forces, noting that the scale of the mitigation chal-
lenge has grown enormously since 2007 due to rapid growth of the
world economy and the continued lack of much overt effort to con-
trol emissions. This trend raises questions about the viability of widely
discussed goals such as limiting climate warming to 2 degrees Cel-
sius since the pre-industrial period (Section 1.3). Then we look at the
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conceptual issues — such as sustainable development, green growth,
and risk management — that frame the mitigation challenge and how
those concepts are used in practice (Section 1.4). Finally, we offer a
roadmap for the rest of the volume (Section 1.5).
1.2 Main messages and
changes from previous
assessment
Since AR4, there have been many developments in the world economy,
emissions, and policies related to climate change. Here we review six
of the most consequential trends and then examine their implications
for this Fifth Assessment Report by the IPCC (AR5).
1�2�1 Sustainable development
Since AR4 there has been a substantial increase in awareness of how
climate change interacts with the goal of sustainable development
(see Chapter 4 in this volume and WGII Chapter 20). While there is
no single widely accepted definition of sustainable development, the
concept implies integrating economic growth with other goals such
as eradication of poverty, environmental protection, job creation,
security, and justice (World Commission on Environment and Devel-
opment, 1987; UNDP, 2009; ADB etal., 2012; OECD, 2012; ILO, 2012;
United Nations, 2012). Countries differ enormously in which of these
elements they emphasize, and for decades even when policymakers
and scientific analysts have all embraced the concept of sustainable
development they have implied many different particular goals. Since
AR4, new concepts have emerged that are consistent with this broader
paradigm, such as ‘green growth’ and ‘green economy’ — concepts
that also reflect the reality that policy is designed to maximize multiple
objectives. The practical implications of sustainable development are
defined by societies themselves. In many respects, this multi-faceted
understanding of sustainable development is not new as it reflects
the effort in the social sciences over the last century to develop tech-
niques for measuring and responding to the many positive and nega-
tive externalities that arise as economies evolve — concepts discussed
in more detail in Chapter 3 of this volume.
New developments since AR4 have been the emergence of quantita-
tive modelling frameworks that explore the synergies and tradeoffs
between the different components of sustainable development includ-
ing climate change (e. g., McCollum et al., 2011; Riahi etal., 2012;
Howells etal., 2013).
Scientific research has examined at least three major implications of
sustainable development for the mitigation of emissions. First, since
AR4 there have been an exceptionally large number of studies that
have focused on how policies contribute to particular elements of sus-
tainable development. Examples include:
• The ways that biofuel programs have an impact on poverty allevia-
tion, employment, air quality, rural development, and energy / food
security (see 11.13), such as in Brazil (La Rovere etal., 2011) and
the United States (Leiby and Rubin, 2013).
• The socioeconomic implications of climate and energy policies in
the EU (Böhringer and Keller, 2013; Boussena and Locatelli, 2013).
• The impacts of Chinese energy efficiency targets on the country’s
emissions of warming gases (Hu and Rodriguez Monroy, 2012;
Paltsev etal., 2012) and the evolution of energy technologies (Xie,
2009; Zhang, 2010; Guo, 2011; Ye, 2011; IEA, 2013).
• The government of India’s Jawaharlal Nehru National Solar Mis-
sion (JNNSM) that utilizes a wide array of policies with the goal of
making solar power competitive with conventional grid power by
2022 (Government of India, 2009).
• The Kyoto Protocol’s Clean Development Mechanism (CDM), which
was explicitly designed to encourage investment in projects that
mitigate GHG emissions while also advancing sustainable develop-
ment (UNFCCC, 2012d; Wang etal., 2013). Since AR4, researchers
have examined the extent to which the CDM has actually yielded
such dividends for job creation, rural development, and other ele-
ments of sustainable development (Rogger etal., 2011; Subbarao
and Lloyd, 2011).
Chapters in this report that cover the major economic sectors (Chapters
7 – 11) as well as spatial development (Chapter 12) examine such poli-
cies. The sheer number of policies relevant to mitigation has made it
impractical to develop a complete inventory of such policies let alone a
complete systematic evaluation of their impacts. Since AR4, real world
experimentation with policies has evolved more rapidly than careful
scholarship can evaluate the design and impact of such policies.
A second consequence of new research on sustainable development
has been closer examination of the interaction between different pol-
icy instruments. Since the concept of sustainable development implies
a multiplicity of goals and governments aim to advance those goals
with a multiplicity of policies, the interactions between policy interven-
tions can have a large impact on the extent to which goals are actu-
ally achieved. Those interactions can also affect how policy is designed,
implemented, and evaluated — a matter that is examined in several
places in this report (Chapters 3 – 4, 14 – 15).
For example, the European Union (EU) has implemented an Emission
Trading Scheme (ETS) that covers about half of the EU’s emissions,
along with an array of other policy instruments. Since AR4 the EU has
expanded the ETS to cover aviation within the EU territory. Some other
EU policies cover the same sectors that are included in the ETS (e. g.,
the deployment of renewable energy supplies) as well as sectors that
are outside the ETS (e. g., energy efficiency regulations that affect build-
ings or agricultural policies aimed at promoting carbon sinks). Many of
these policies adopted in tandem with the ETS are motivated by policy
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1
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goals, such as energy security or rural economic development, beyond
just concern about climate change. Even as the price of emission credits
under the ETS declined since AR4 — implying that the ETS itself was
having a less binding impact on emissions — the many other mitiga-
tion-related policies have remained in place (Chapters 14 and 15).
Such interactions make it impossible to evaluate individual policies in
isolation from other policies that have overlapping effects. It has also
given rise to a literature that has grown substantially since AR4 that
explores how policies and measures adopted for one purpose might
have the ‘co-benefit’ of advancing other goals as well. Most of that
literature has looked at non-monetary co-benefits (see Sections 5.7,
7.9, 8.7, 9.7, 10.8, 11.7, 11.A.6) — for example, an energy efficiency
policy adopted principally with the goal of advancing energy security
might also lead to lower emissions of GHGs or other pollutants. The
concept of co-benefits, however, has also raised many challenges for
economic evaluation of policies, and since AR4 there have been sub-
stantial efforts to clarify how the interactions between policies influ-
ence economic welfare. Such research has underscored that while the
concept of ‘co-benefits’ is widely used to create the impression that
policies adopted for one goal yield costless improvements in other
goals, the interactions can also yield adverse side-effects (see Sections
3.6.3, 4.2 and 6.6).
Third, the continued interest in how climate change mitigation inter-
acts with goals of sustainable development has also led to challeng-
ing new perspectives on how most countries mobilize the political,
financial, and administrative resources needed to mitigate emissions.
More than two decades ago when the topic of climate change was first
extensively debated by policymakers around the world, most scholar-
ship treated GHG emissions as an externality that would require new
policies designed explicitly with the goal of controlling emissions. Con-
cerns about climate change would lead to policy outcomes tailored for
the purpose of mitigation, and those outcomes would interact with the
many other goals of sustainable development. Since AR4 policy experi-
ence and scholarship have focused on a different perspective — that
for most countries a substantial portion of ‘climate policy’ would
emerge as a derivative of other policies aimed at the many facets of
sustainable development. A range of policy interventions were identi-
fied in theory to enable integration and optimization of climate change
policies with other priorities such as land use planning and protection
of water resources (Muller, 2012; Pittock etal., 2013; Dulal and Akbar,
2013). Similarly, many of the policies that would reduce emissions of
GHGs could also have large beneficial effects on public health (Gan-
ten etal., 2010; Li and Crawford-Brown, 2011; Groosman etal., 2011;
Haines, 2012) (see Sections 6.6, 7.9.2 and WGII 11.9).
These new perspectives on the interactions between climate change
and sustainable development policies have led to a more realistic view
of how most governments are addressing the challenges of mitigation.
However, since AR4 it has also become clear that the totality of the
global effort remains inconsistent with widely discussed goals for pro-
tecting the climate, such as limiting warming to 1.5 or 2 degrees Cel-
sius. Despite the slowing down of emissions growth rate in the wake
of the global financial crisis, annual volume of total emissions from
emerging countries has been surging from the new century (see Sec-
tion 1.3 for more details). And the mitigation progress in the devel-
oped world is slower than expectation, especially when carbon emis-
sions embodied in trade is considered (Steinberger etal., 2012; Aichele
and Felbermayr, 2012). Moreover, per capita energy consumption and
emissions of some developing countries remain far lower than that of
developed countries, suggesting that per capita emissions will rise as
economies converge (Olivier etal., 2012).
1�2�2 The world macroeconomic situation
Shortly after the publication of AR4 in 2007, the world encountered a
severe and deep financial crisis (Sornette and Woodard, 2010). The cri-
sis, which spread rapidly in the second half of 2008, destabilized many
of the largest financial institutions in the United States, Europe, and
Japan, and shocked public confidence in the global financial system.
The crisis also wiped out an estimated USD 25 trillion in value from the
world’s publicly traded companies, with particularly severe effects on
banks (Naudé, 2009; IMF, 2009). The effects of the crisis are evident in
economic growth — shown in Figure 1.1. The year 2009 witnessed the
first contraction in global GDP since the Second World War (Garrett,
2010). International trade of goods and services had grown rapidly
since the turn of the millennium — from 18 % of world GDP in 2000 to
28 % in 2008 (WTO, 2011). The crises caused global trade to drop to
22 % in 2009 before rebounding to 25 % in 2010. The effects of the
recent economic crisis have been concentrated in the advanced indus-
trialized countries (te Velde, 2008; Lin, 2008; ADB, 2009, 2010). While
this particular crisis has been large, studies have shown that these
events often recur, suggesting that there is pervasive over-confidence
that policy and investment strategies can eliminate such cyclic behav-
iour (Reinhart and Rogoff, 2011).
Figure 1.1 reveals that countries were affected by the global economic
crisis in different ways. The recessions were generally most severe
in the advanced industrialized countries, but the contagion of reces-
sions centred on the high income countries has spread, especially to
countries with small, open, and export-oriented economies — in large
part due to the decline in exports, commodity prices, and associated
revenues. The crisis has also affected foreign direct investment (FDI)
and official development assistance (ODA) (IMF, 2009, 2011) with
few exceptions such as in the area of climate change where ODA for
climate mitigation and adaptation increased substantially until 2010
before a decline in 2011 (OECD, 2013). The crisis also had substantial
effects on unemployment across most of the major economies and on
public budgets. The slow recovery and deceleration of import demand
from key advanced economies continued to contribute to the notice-
able slowdown in the emerging market and developing economies
during 2012 (IMF, 2013). As well, some of the major emerging market
economies suffered from the end of their national investment booms
(IMF, 2013).
Figure 1�1 | Annual real growth rates of GDP by decade (left panel) and since 2000 (right panel) for four groups of countries as defined by the World Bank (World Bank, 2013):
high-income, mature industrialized countries (HIC), upper-middle-income countries (UMC), lower-middle-income (LMC), and low-income countries (LIC) and globally. The category
of 49 least developed countries (LDCs) as defined according to the United Nations (United Nations, 2013b) overlaps heavily with the 36 countries that the World Bank classifies as
‘low-income’. Estimates weighted by economic size and variations to one standard deviation are shown. Growth rates weighted by size of the economy; whiskers on the decadal
averages (left panel) show variation to one standard deviation within each category and decade. Sources: MER converted real growth rates from World Bank (2013) and IMF
(2013b).
10
5
0
-5
10
5
0
-5
Average Annual GDP Growth [%/yr]
Annual GDP Growth [%/yr]
1970-1980 1980-1990 1990-2000 2000-2010 2000 2002 2004 2006 2008 2010 2012
LIC LMC UMC HIC Global
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1
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The continued growth of developing economies, albeit at a slower
pace than before the crisis, helps to explain why global commodity
prices, such as for oil and metals, have quickly rebounded (see Fig-
ure 1.2). Another factor that helps explain continued high prices for
some commodities are reductions in supply in response to weakening
demand. Among the many implications of high and volatile commod-
ity prices are continued concerns about the availability and security
of energy and food supply, especially in the least-developed countries.
Those concerns have also reshaped, to some degree, how problems
such as global climate change are viewed in many countries and soci-
eties. Where climate change mitigation has linked to these broader
economic and energy security concerns it has proven politically easier
to mobilize action; where they are seen in conflict the other economic
and security priorities have often dominated (Chandler etal. 2002; IEA
2007; ADB 2009).
The implications of these macroeconomic patterns are many, but at
least five are germane to the challenges of climate change mitigation:
• First, the momentum in global economic growth has shifted to
the emerging economies — a pattern that was already evident in
the 2000s before the crisis hit. Although accelerated by the recent
financial crisis, this shift in production, investment, and technol-
ogy to emerging economies is a phenomenon that is consistent
with the expectation that in a globalized world economy capital
resources will shift to emerging economies if they can be used with
greater marginal productivity commensurate with associated risks
(Zhu, 2011). With that shift has been a shift in the growth of green-
house gas emissions to these emerging economies as well.
• Second, much of this shift has arisen in the context of globaliza-
tion in investment and trade, leading to higher emissions that are
‘embodied’ in traded goods and services, suggesting the need
for additional or complementary accounting systems that reflect
the ultimate consumption of manufacturing goods that cause
emissions rather than just the territorial place where emissions
occurred during manufacturing (Houser etal., 2008; Davis and Cal-
deira, 2010; Peters etal., 2011, 2012a) (see also Chapter 5).
• Third, economic troubles affect political priorities. As a general rule,
hard economic times tend to focus public opinion on policies that
yield immediate economic benefits that are realized close to home
sius. Despite the slowing down of emissions growth rate in the wake
of the global financial crisis, annual volume of total emissions from
emerging countries has been surging from the new century (see Sec-
tion 1.3 for more details). And the mitigation progress in the devel-
oped world is slower than expectation, especially when carbon emis-
sions embodied in trade is considered (Steinberger etal., 2012; Aichele
and Felbermayr, 2012). Moreover, per capita energy consumption and
emissions of some developing countries remain far lower than that of
developed countries, suggesting that per capita emissions will rise as
economies converge (Olivier etal., 2012).
1�2�2 The world macroeconomic situation
Shortly after the publication of AR4 in 2007, the world encountered a
severe and deep financial crisis (Sornette and Woodard, 2010). The cri-
sis, which spread rapidly in the second half of 2008, destabilized many
of the largest financial institutions in the United States, Europe, and
Japan, and shocked public confidence in the global financial system.
The crisis also wiped out an estimated USD 25 trillion in value from the
world’s publicly traded companies, with particularly severe effects on
banks (Naudé, 2009; IMF, 2009). The effects of the crisis are evident in
economic growth — shown in Figure 1.1. The year 2009 witnessed the
first contraction in global GDP since the Second World War (Garrett,
2010). International trade of goods and services had grown rapidly
since the turn of the millennium — from 18 % of world GDP in 2000 to
28 % in 2008 (WTO, 2011). The crises caused global trade to drop to
22 % in 2009 before rebounding to 25 % in 2010. The effects of the
recent economic crisis have been concentrated in the advanced indus-
trialized countries (te Velde, 2008; Lin, 2008; ADB, 2009, 2010). While
this particular crisis has been large, studies have shown that these
events often recur, suggesting that there is pervasive over-confidence
that policy and investment strategies can eliminate such cyclic behav-
iour (Reinhart and Rogoff, 2011).
Figure 1.1 reveals that countries were affected by the global economic
crisis in different ways. The recessions were generally most severe
in the advanced industrialized countries, but the contagion of reces-
sions centred on the high income countries has spread, especially to
countries with small, open, and export-oriented economies — in large
part due to the decline in exports, commodity prices, and associated
revenues. The crisis has also affected foreign direct investment (FDI)
and official development assistance (ODA) (IMF, 2009, 2011) with
few exceptions such as in the area of climate change where ODA for
climate mitigation and adaptation increased substantially until 2010
before a decline in 2011 (OECD, 2013). The crisis also had substantial
effects on unemployment across most of the major economies and on
public budgets. The slow recovery and deceleration of import demand
from key advanced economies continued to contribute to the notice-
able slowdown in the emerging market and developing economies
during 2012 (IMF, 2013). As well, some of the major emerging market
economies suffered from the end of their national investment booms
(IMF, 2013).
Figure 1�1 | Annual real growth rates of GDP by decade (left panel) and since 2000 (right panel) for four groups of countries as defined by the World Bank (World Bank, 2013):
high-income, mature industrialized countries (HIC), upper-middle-income countries (UMC), lower-middle-income (LMC), and low-income countries (LIC) and globally. The category
of 49 least developed countries (LDCs) as defined according to the United Nations (United Nations, 2013b) overlaps heavily with the 36 countries that the World Bank classifies as
‘low-income’. Estimates weighted by economic size and variations to one standard deviation are shown. Growth rates weighted by size of the economy; whiskers on the decadal
averages (left panel) show variation to one standard deviation within each category and decade. Sources: MER converted real growth rates from World Bank (2013) and IMF
(2013b).
10
5
0
-5
10
5
0
-5
Average Annual GDP Growth [%/yr]
Annual GDP Growth [%/yr]
1970-1980 1980-1990 1990-2000 2000-2010 2000 2002 2004 2006 2008 2010 2012
LIC LMC UMC HIC Global
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Introductory Chapter
1
Chapter 1
(Kahler and Lake, 2013). Long-term goals, such as global climate
protection, suffer unless they are framed to resonate with these
other, immediate goals. Chapter 2 of this volume looks in more
detail at the wider array of factors that affect how humans per-
ceive and manage risks that are spread out over long time hori-
zons.
• Fourth, economic slowdown may also reduce the rate of techno-
logical progress that contributes to addressing climate change,
such as in energy efficiency (Bowen etal., 2009), but for alterna-
tive views, see (Peters etal., 2012b). The crisis also has acceler-
ated shifts in the global landscape for innovation (Gnamus, 2009).
The largest emerging economies have all built effective systems
for innovation and deployment of new technologies — including
low emission technologies. Thus ‘technology transfer’ now includes
‘South-South’ although a central role remains for ‘North-South’ dif-
fusion of technologies as part of a global effort to mitigate emis-
sions (see also Chapters 5 and 16).
• Fifth, commodity prices remain high and volatile despite sluggish
economic growth in major parts of the world economy. High costs
for food have amplified concerns about competition between food
production and efforts to mitigate emissions, notably through the
growing of bioenergy crops (see 11.13). High prices for fossil fuels
along with steel and other commodities affect the cost of building
and operating different energy systems, which could in turn affect
mitigation since many of the options for cutting emissions (e. g.,
power plants with carbon capture and storage technology) are rel-
atively intensive users of steel and concrete. Relatively expensive
energy will, as well, encourage conservation and efficiency. Since
AR4 there have been substantial changes in the availability, cost,
and performance of energy systems — a topic to which we now
turn.
1�2�3 The availability, cost and performance
of energy systems
The purpose of energy systems — from resource extraction to refin-
ing and other forms of conversion, to distribution of energy services
for final consumption — is to provide affordable energy services that
can catalyze economic and social development. The choice of energy
systems depends on a wide array of investment and operating costs,
the relative performance of different systems, infrastructures, and life-
styles. These choices are affected by many factors, such as access to
information, status, access to technology, culture, price, and perfor-
mance (Garnaut, 2011). The assessment of different energy options
depends critically on how externalities, such as pollution, are included
in the calculations.
Following a decade of price stability at low levels, since 2004 energy
prices have been high and volatile (see Figure 1.2). Those prices have
gone hand-in-hand with substantial geopolitical consequences that
have included a growing number of oil importing countries focusing on
Figure 1�2 | Price indices for four major baskets of commodities: agricultural raw materials, food, crude oil, and metals. Source: IMF (2013a).
2012
Prices Indices [2005 = 100]
2006200019941988198219761970
0
50
100
150
200
Crude Oil
Metals
Agricultural Raw Materials
Food
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Introductory Chapter
1
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policies surrounding energy security (e. g., Yergin, 2011). Some analysts
interpret these high prices as a sign of imminent ‘peak production’ of
exhaustible resources with subsequent steady decline, while others
have argued that the global fossil and fissile resource endowment is
plentiful (Rogner, 2012). Concerns about the scarcity of resources have
traditionally focused on oil (Aleklett etal., 2010), but more recently the
notions of peak coal (Heinberg and Fridley, 2010), peak gas, and peak
uranium (EWG, 2006) have also entered the debate (see 7.4).
Sustained high prices have encouraged a series of technological inno-
vations that have created the possibility of large new supplies from
unconventional resources (e. g., oil sands, shale oil, extra-heavy oil,
deep gas, coal bed methane (CBM), shale gas, gas hydrates). By some
estimates, these unconventional oil and gas sources have pushed the
‘peak’ out to the second half of the 21st century (GEA, 2012), and they
are a reminder that ‘peak’ is not a static concept. These unconventional
sources have raised a number of important questions and challenges,
such as their high capital intensity, high energy intensity (and cost),
large demands on other resources such as water for production and
other potential environmental consequences. Consequently, there are
many contrasting viewpoints about the future of these unconventional
resources (e. g., Hirsch et al., 2006; Smil, 2011; IEA, 2012a; Jordaan,
2012; Rogner etal., 2012).
The importance of these new resources is underscored by the rapid
rise of unconventional shale gas supplies in North America — a tech-
nology that had barely any impact on gas supplies at the time that
the AR4 was being finalized in 2006, but that by 2010 accounted for
one-fifth of North American gas supply with exploratory drilling else-
where in the world now under way. This potential for large new gas
supplies — not only from shale gas but also coal-bed methane, deep
gas, and other sources — could lower emissions where gas competes
with coal if gas losses and additional energy requirements for the frac-
turing process can be kept relatively small. (A modern gas-fired power
plant emits about half the CO
2
per unit of electricity than a compara-
ble coal-fired unit.) In the United States, 49 % of net electricity genera-
tion came from coal in 2006; by 2011 that share had declined to 43 %
and by 2012 that share had declined to 37 % and could decline further
as traditional coal plants face new environmental regulations as well
as the competition from inexpensive natural gas (EIA, 2013a; b; d).
Worldwide, however, most baseline projections still envision robust
growth in the utilization of coal, which already is one of the fastest
growing fuels with total consumption rising 50 % between 2000 and
2010 (IEA, 2011a). The future of coal hinges, in particular, on large
emerging economies such as China and India as well as the diffu-
sion of technologies that allow coal combustion with lower emissions
(GEA, 2012).
An option of particular interest for mitigating emissions is carbon diox-
ide capture and storage (CCS), which would allow for the utilization of
coal while cutting emissions. Without CCS or some other advanced coal
combustion system, coal is the most emission intensive of all the major
fossil fuels yet, as we discuss below, consumption of coal is expanding
rapidly. Thus, since AR4, CCS has figured prominently in many stud-
ies that look at the potential for large cuts in global emissions (IEA,
2010a, 2011b; GEA, 2012). However, CCS still has not attracted much
tangible investment. By mid-2012 there were eight large-scale projects
in operation globally and a further eight under construction. The total
CO
2
emissions avoided by all 16 projects in operation or under con-
struction will be about 36 million tonnes a year by 2015, which is less
than 0.1 % of total expected world emissions that year (Global CCS
Institute, 2012). CCS is much discussed as an option for mitigation but
not much deployed. The fuller implementation of large-scale CCS sys-
tems generally requires extensive funding and an array of complemen-
tary institutional arrangements such as legal frameworks for assigning
liability for long-term storage of CO
2
. Since AR4, studies have under-
scored a growing number of practical challenges to commercial invest-
ment in CCS (IEA 2010b) (see also Chapter 7).
Since AR4, innovation and deployment of renewable energy supplies
has been particularly notable (IEA, 2012a; GEA, 2012). The IPCC Spe-
cial Report on Renewable Energy Sources and Climate Change Miti-
gation (SRREN) (IPCC, 2011) provides a comprehensive assessment
of the potential role of renewables in reducing GHG emissions. Glob-
ally wind electricity generating capacity has, for example, experienced
double-digit annual growth rates since 2005 with an increasing share
in developing countries. While still being only a small part of the world
energy system, renewable technology capacities, especially wind but
also solar, are growing so rapidly that their potential for large scale
growth is hard to assess but could be very large (IEA, 2011b; GEA,
2012). Renewable energy potentials exist not only for stationary users
via electricity but also for transportation through biofuels and electric-
powered vehicles (see 11.13). Renewable energy technologies appear
to hold great promise, but like all major sources of energy they also
come with an array of concerns. Many renewable sources of electric-
ity are variable and intermittent, which can make them difficult to
integrate into electric grids at scale (see Chapter 7; Chapter 8 in IPCC,
2011). Some biofuels are contested due to fears for food security and
high lifecycle greenhouse gas emissions of some fuel types (see Chap-
ter 2 in IPCC, 2011; Delucchi, 2010). Other concerns are financial, since
nearly every major market for renewable energy has relied heavily on
a variety of policy support such as subsidies, leading investors and
analysts alike to wonder whether and how these energy sources will
continue to be viable for investors if subsidies are curtailed. Indeed,
some governments concerned about the size of public budgets have
pared back subsidies and claimed that additional cutbacks will be
forth coming.
Since AR4, there have also been substantial advances in the technolog-
ical possibilities for making energy systems more efficient and respon-
sive. The use of energy efficient devices, plants, and equipment has
been legislated in many jurisdictions (RISØ, 2011). Integrating informa-
tion and communication technology (ICT) into energy networks offers
the potential to deliver and use energy more efficiently and flexibly,
which could make it much easier to integrate variable and intermittent
renewable power sources into existing electric grids. (Improved energy
120120
Introductory Chapter
1
Chapter 1
storage technologies could also play a central role.) This interconnec-
tion offers the promise of energy systems — especially in electricity,
where the potential for pervasive use of ICT is often called a ‘smart
grid’ — that integrate demand response with supplies, allowing for
smooth and reliable operation of grids even with fluctuating renew-
able supplies (EPRI, 2011). Innovations of this type may also interact
with behavioural changes that can have large effects on emissions
as well. For example, greater flexibility and efficiency could encour-
age consumers to use more energy, partially offsetting the benefits of
these investments in smarter energy supply networks. Or, close atten-
tion to energy supplies could encourage shifts in behaviour that are
much more frugal with energy (see Chapter 7).
A central challenge in shifting to clean energy supplies and to creat-
ing much more efficient end-use of energy is that many energy tech-
nologies require large capital costs with long time horizons. Thus, even
when such technologies are cost-effective they may face barriers to
entry if investors and users are not confident that needed policy and
market support will be reliable. Innovations in financing — for example,
mechanisms that allow households to lease solar panels rather than
pay the full cost up front — can play a role in addressing such issues,
as can public schemes to fund initial deployment of new technologies.
Such arrangements are part of a broader effort often called ‘market
transformation’ that, if implemented well, can lead to new trajectories
for deployment of technologies that otherwise would face many barri-
ers to entry (IEA, 2010c).
Since AR4, a large number of governments have begun to explore
the expansion or introduction of nuclear power. They have also faced
many challenges in the deployment and management of this tech-
nology. Countries with active nuclear power programmes have been
contemplating replacing aging plants with new builds or expanding
the share of nuclear power in their electricity mix for reasons of eco-
nomics, supply security, and mitigation of climate change. In addition,
more than 20 countries, currently, that have never had commercial
reactors have launched national programmes in preparation for the
introduction of the technology, and several newcomer countries have
entered contractual arrangements with vendors (IAEA, 2011).
After the Fukushima accident in March 2011, an event that forced
Japan to review its energy policy substantially, the future patterns in
nuclear power investment have become more difficult to parse. Some
countries have scaled back nuclear investment plans or ruled out
new build (e. g., Switzerland, Belgium); some, notably Germany, have
decided to close existing reactors. In the United States, since AR4, sev-
eral reactors have been slated for closure and owners have announced
that still more closures are possible — mainly for reasons of economic
competitiveness since aging reactors can be costly to maintain in the
face of less expensive gas-fired electricity. At the same time, in 2013
construction began on four new reactors in the United States — the
first new construction in that country in three decades. Several coun-
tries preparing the introduction of nuclear power have extended the
time frame for the final go-ahead decisions; only few in a very early
stage of preparation for the introduction stopped their activities alto-
gether. In other countries, including all the countries that have been
most active in building new reactors (e. g., China, India, Russia, and
South Korea), there aren’t many noticeable effects from Fukushima
and the investment in this energy source is accelerating, despite some
scale-back in the wake of Fukushima (IEA, 2012a). These countries’
massive investments in nuclear were much less evident, especially in
China, India and South Korea, at the time of AR4.
The Fukushima accident has also increased investment in deployment
of new, safer reactor designs such as so-called ‘Generation III’ reac-
tors and small modular reactors (see Chapter 7.5.4). Despite all of
these new investment activities, standard baseline projections for the
world energy system see nuclear power declining slightly in share as
total demand rises and other electric power sources are more com-
petitive (IEA, 2012a; EIA, 2013c). In many countries, the future com-
petitiveness of nuclear power hinges on the adoption of policies that
account for the climate change and energy security advantages of the
technology.
1�2�4 International institutions and
agreements
For more than two decades formal intergovernmental institutions have
existed with the task of promoting coordination of national policies
on the mitigation of emissions. In 1992, diplomats finalized the United
Nations Framework Convention on Climate Change (UNFCCC), which
entered into force in 1994. The first session of the Conference of the
Parties (COP) to that Convention met in Berlin in 1995 and outlined
a plan for new talks leading to the Kyoto Protocol in 1997, which
entered into force in 2005. The main regulatory provisions of the Kyoto
Protocol concerned numerical emission targets for industrialized coun-
tries (listed in Annex B of the Protocol
1
) during the years 2008 to 2012.
When AR4 concluded in 2007, diplomats were in the early stages of
negotiations for possible amendment of the Kyoto treaty while also
exploring other mechanisms to encourage additional long-term coop-
eration on mitigation. The regulatory targets of the original Kyoto
treaty would expire at the end of 2012. Those negotiations had been
expected to finish at the COP 15 meeting in Copenhagen in 2009, but
a wide number of disagreements made that impossible. Instead, talks
continued while, in tandem, governments made an array of pledges
that they solidified at the 2010 COP meeting in Cancun. These ‘Cancun
pledges’ concern the policies they would adopt to mitigate emissions
and other related actions on the management of climate risks; some
of those pledges are contingent upon actions by other countries. The
1
In this chapter, Annex B countries are categorized as: countries that are members
of Annex B; countries originally listed in Annex B but which are not members of
the Kyoto Protocol (non-members are USA and Canada). Countries not listed in
Annex B are referred to as non-Annex B.
121121
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1
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91 countries that adopted these pledges account for the vast major-
ity (about 80 %) of world emissions (UNFCCC, 2011, 2012a; b; UNEP,
2012). If fully implemented, the pledges might reduce emissions in
2020 about one-tenth below the emissions level that would have
existed otherwise — not quite enough to return emissions to 2005 lev-
els — and it would be very hard to attain widely discussed goals of
stabilizing warming at 1.5 or 2 degrees without almost immediate and
full participation in international agreements that coordinate substan-
tial emission reductions (Figure 1.9). International agreements are dis-
cussed in detail in Chapter 13 of this report.
At this writing, diplomatic talks are focused on the goal of adopting
a new agreement that would raise the level of ambition in mitigation
and be in effect by 2020 (UNFCCC, 2012c). In tandem, governments
have also made a number of important decisions, in particular the
adoption at Doha in 2012 of the second commitment period of the
Kyoto Protocol, from 2013 to 2020. However, five developed countries
originally listed in Annex B of the Kyoto Protocol are not participating
in the second commitment period: Canada, Japan, New Zealand, Rus-
sia, and the United States (UNFCCC, 2013b).
The growing complexity of international diplomacy on climate change
mitigation, which has been evident especially since AR4 and the
Copenhagen meeting, has led policymakers and scholars alike to look
at many other institutional forms that could complement the UN-based
process. Some of these initiatives imply diplomatic efforts on separate
parallel tracks (see Chapter 13). Proposals exist within the Montreal
Protocol on Substances that Deplete the Ozone Layer to regulate some
of the gases that have replaced ozone-destroying chemicals yet have
proved to have strong impacts on the climate. A wide array of other
institutions has become engaged with the climate change issue. The
G8 — the group of Canada, France, Germany, Italy, Japan, Russia, the
UK, and the USA that convenes regularly to address a wide array of
global economic challenges — has repeatedly underscored the impor-
tance of limiting warming to 2 degrees and implored its members to
take further actions. The G20, a much broader group of economies
has put climate change matters on its large agenda; the G20 has also
helped to organize active efforts to reform fossil fuel subsidies and to
implement green growth strategies. The UN, itself, has a large num-
ber of complementary diplomatic efforts on related topics, such as the
‘Rio+20’ process.
Many other institutions are now actively addressing particular
aspects of climate change mitigation, such as the International
Renewable Energy Agency (IRENA), which focuses on renewable
energy; the Climate and Clean Air Coalition (CCAC), which focuses
on how limits on short-lived pollutants such as black carbon can
help slow climate change, the International Atomic Energy Agency
(IAEA), which focuses on nuclear power, the International Civil Avia-
tion Organization (ICAO) and the International Maritime Organiza-
tion (IMO) that have focused on emissions from bunker fuels, and
many others with expertise in particular domains. The International
Energy Agency (IEA) is now extensively engaged in analyzing how
developments in the energy sector could affect patterns of emissions
(e. g., IEA, 2012). Looking across these many different activities, inter-
national institutions that have engaged the climate change topic are
highly decentralized rather than hierarchically organized around a
single regulatory framework (Keohane and Victor, 2011). Since AR4,
research on decentralized international institutions has risen sharply
(Alter and Meunier, 2009; Zelli etal., 2010; Johnson and Urpelainen,
2012), building in part on similar concepts that have emerged in
other areas of research on collective action (e. g., McGinnis, 1999;
Ostrom, 2010).
Since AR4, there has been a sharp increase in scholarly and practical
attention to how climate change mitigation could interact with other
important international institutions such as the World Trade Organiza-
tion (WTO) (see also Chapter 13 of this volume) (Brewer, 2010). Rela-
tionships between international trade agreements and climate change
have been a matter of long standing interest in climate diplomacy and
are closely related to a larger debate about how differences in envi-
ronmental regulation might affect economic competitiveness as well
as the spread of mitigation and adaptation technology (Gunther etal.,
2012). A potential role for the WTO and other trade agreements also
arises because the fraction of emissions embodied in internationally
traded goods and services is rising with the globalization of manufac-
turing (see 1.2.1.2 above and 1.3.1 below). Trade agreements might
also play a role in managing (or allowing the use of) trade sanctions
that could help enforce compliance with mitigation commitments — a
function that raises many legal questions as well as numerous risks
that could lead to trade wars and an erosion of political support that
is essential to the sustainability of an open trading system (Bacchus
etal., 2010). For example, Article 3 of the UNFCCC requires that “[m]
easures taken to combat climate change, including unilateral ones,
should not constitute a means of arbitrary or unjustifiable discrimina-
tion or a disguised restriction on international trade.” (UNFCCC, 1992).
The impacts of mitigation on trade issues are also related to concerns
that have been raised about how emission controls could reduce
national employment and income (ILO, 2012, 2013).
Since the AR4 in 2007, the scholarly community has analyzed the
potentials, design, and practices of international cooperation exten-
sively. A body of research has emerged to explain why negotiations on
complex topics such as climate change are prone to gridlock (Murase,
2011; Victor, 2011; Yamaguchi, 2012). There is also a large and vibrant
research program by political scientists and international lawyers on
institutional design, looking at issues such as how choices about the
number of countries, type of commitments, the presence of enforce-
ment mechanisms, schemes to reduce cost and increase flexibility,
and other attributes of international agreements can influence their
appeal to governments and their practical effect on behaviour (see
e. g., the comprehensive reviews and assessment on these topics by
Hafner-Burton, Victor, and Lupu, 2012 as well as earlier research of
Abbott etal., 2000; and Koremenos, Lipson, and Snidal, 2001). Much
of that research program has sought to explain when and how inter-
national institutions, such as treaties, actually help solve common
122122
Introductory Chapter
1
Chapter 1
problems. Such research is part of a rich tradition of scholarship aimed
at explaining whether and how countries comply with their interna-
tional commitments (Downs et al., 1996; Simmons, 2010). Some of
that research focuses on policy strategies that do not involve formal
legalization but, instead, rely more heavily on setting norms through
industry organizations, NGOs, and other groups (Vogel, 2008; Buthe
and Mattli, 2011). The experience with voluntary industry standards
has been mixed; in some settings these standards have led to large
changes in behaviour and proved highly flexible while in others they
have little or no impact or even divert attention (Rezessy and Bertoldi,
2011).
One of the many challenges in developing and analyzing climate
change policy is that there are long chains of action between interna-
tional institutions such as the UNFCCC and the ultimate actors whose
behaviour might be affected, such as individuals and firms. We note
that there have been very important efforts to engage the business
community on mitigation as well as adaptation to facilitate the mar-
ket transformations needed for new emission technologies and busi-
ness practices to become widespread (WEF, 2009; UN Global Compact
and UNEP, 2012) (see Chapter 15). While there are diverse efforts to
engage these many different actors, measuring the practical impact on
emissions has been extremely difficult and much of the scholarship in
this area is therefore highly descriptive.
1�2�5 Understanding the roles of emissions
other than fossil fuel CO
2
Much policy analysis has focused on CO
2
from burning fossil fuels,
which comprise about 60 % of total global greenhouse gas emis-
sions in 2010 (see Section 1.3.1 below). However, the UNFCCC and
the Kyoto Protocol cover a wider array of CO
2
sources and of warming
substances — including methane (CH
4
), nitrous oxide (N
2
O), perfluoro-
carbons (PFCs), hydrofluorocarbons (HFCs) and sulphur hexafluoride
(SF
6
). Nitrogen trifluoride (NF
3
) was added as a GHG under the Kyoto
Protocol for its second commitment period. This large list was included,
in part, to create opportunities for firms and governments to optimize
their mitigation efforts flexibly across different substances. The effects
of different activities on the climate varies because the total level of
emissions and the composition of those emissions varies. For example,
at current levels the industrial and power sectors have much larger
impacts on climate than agriculture (Figure 1.3).
A variety of studies have shown that allowing for trading across these
different gases will reduce the overall costs of action; however, many
studies also point to the complexity in agreeing on the correct time
horizons and strategies for policy efforts that cover gases with such
different properties (Reilly et al., 2003; Ramanathan and Xu, 2010;
Shindell et al., 2012). In addition to the gases regulated under the
Kyoto Protocol, many of the gases that deplete the ozone layer — and
are regulated under the Montreal Protocol on Substances that Deplete
the Ozone Layer — are also strong greenhouse gases (Velders etal.,
2007). Since AR4 a variety of short-lived climate pollutants (SLCPs)
have come under scrutiny (UNEP, 2011a; Shindell etal., 2012; Victor
et al., 2012; Smith and Mizrahi, 2013). Those include tropospheric
ozone (originating from air pollutant emissions of nitrogen oxides and
various forms of incompletely oxidized carbon) and aerosols (such as
black carbon and organic carbon and secondary such as sulphates)
that affect climate forcing (see Chapter 8, Section 8.2.2 and Section
5.2). This remains an area of active research, not least because some
studies suggest that the climate impacts of short-lived pollutants like
black carbon could be much larger or smaller (Ramanathan and Car-
michael, 2008; Bond etal., 2013) (WGI, Chapters 7 and 8). Such pol-
lutants could have a large role in mitigation strategies since they have
a relatively swift impact on the climate — combined with mitigation
of long-lived gases like CO
2
such strategies could make it more easily
feasible to reach near-term temperature goals, but there are still many
debates over the right balance of mitigation effort on short-lived and
long-lived pollutants (Ramanathan and Xu, 2010; Penner etal., 2010;
Victor etal., 2012; Smith and Mizrahi, 2013). By contrast, other aero-
sols — notably the sulphate aerosol formed from SO
2
emissions from
the industrial and power sectors, shipping, and large-scale biomass
burning — have a net cooling effect because they interact with clouds
to reflect sunlight back to space (see Section 5.2 and WGI, Chapter 7.4;
(Fuglestvedt etal., 2009).
Starting with the FAR, the IPCC has calculated global warming poten-
tials (GWPs) to convert climate pollutants into common units over 20,
100, and 500 year time horizons (Chapter 2, IPCC, 1990b). Indeed,
when GWPs were first presented by IPCC the analysis included the
statement that “[t]hese three different time horizons are presented
as candidates for discussion and should not be considered as having
any special significance” (see Chapter 2, page 59 in IPCC, 1990b).
In the Kyoto Protocol, diplomats chose the middle value — 100
years — despite the lack of any published conclusive basis for that
choice (Shine, 2009). That approach emphasizes long-lived pollutants
such as CO
2
, which are essential to stopping climate warming over
many decades to centuries. As shown in Table 1.1, when GWPs are
computed with a short time horizon the share of short-lived gases,
notably methane, in total warming is much larger and that of CO
2
becomes proportionally smaller. The uncertainty in the GWPs of
non-CO
2
substances increases with time horizon and for GWP
100
the
uncertainty is about 30 % to 40 % (90 % confidence interval) (IPCC,
2013a). If policy decisions are taken to emphasize SLCPs as a means
of altering short-term rates of climate change rises then alternative
GWPs or other metrics and mitigation strategies may be needed
(IPCC, 2009; Fuglestvedt etal., 2010; Victor etal., 2012; Daniel etal.,
2012; Smith etal., 2012). Additional accounting systems may also be
needed.
123123
Introductory Chapter
1
Chapter 1
Figure 1�3 | Panel A (top left): Allocation of total GHG emissions in 2010 (49.5 GtCO
2
eq / yr) across the five sectors examined in detail in this report (see Chapters 7 – 11). Pullout
from panel A allocates indirect CO
2
emission shares from electricity and heat production to the sectors of final energy use. Panel B (top right): Allocates that same total emissions
(49.5 GtCO
2
eq / yr) to reveal how each sector’s total increases or decreases when adjusted for indirect emissions. Panel C (lower panel): Total annual GHG emissions by groups of
gases 1970 – 2010, along with estimated uncertainties illustrated for 2010 (whiskers). The uncertainty ranges provided by the whiskers for 2010 are illustrative given the limited
literature on GHG emission uncertainties. Sources: Historic Emission Database IEA / EDGAR dataset (JRC / PBL, 2013, IEA, 2012a), see AnnexII.9. Data shown for direct emissions
on Panels A and B represents land-based CO
2
emissions from forest and peat fires and decay that approximate to CO
2
flux from anthropogenic emissions sources in the FOLU
(Forestry and Other Land Use) sub-sector — additional detail on Agriculture and FOLU (‘AFOLU’, together) fluxes is in Chapter 11, Section 11.2 and Figure 11.2 and 11.6. Emissions
weighted with 100-year GWPs as used in the original Kyoto Protocol (i. e., values from the SAR as those values are now widely used in policy discussions) and, in general, sectoral
and national / regional allocations as recommended by the 1996 IPCC guidelines (IPCC, 1996). Using the most recent GWP-100 values from the AR5 (see WGI Section 8.6) global
GHG emission totals would be slightly higher (52 GtCO
2
eq) and non-CO
2
emission shares are 20 % for CH4, 5 % for N
2
O and 2 % for F-gases. Error bars in panel 1.3c show the
90 % confidence interval of the emission estimates based on these sources: CO
2
from fossil fuel and industrial processes ± 8.4 % (Andres etal., 2012; Kirschke etal., 2013) CO
2
from FOLU ± 2.9 GtCO
2
/ yr (estimates from WGI table 6.1 with central value shown on figure 1.3c is per EDGAR / IEA); Methane ± 20 % (Kirschke etal. 2013); Nitrous oxide ± 60 %
(WGI, table 6.9); F-gases ± 20 % (UNEP, 2012). Readers are cautioned, however, that the literature basis for all of these uncertainty figures is very weak. There have been very few
formal, documented analysis of emissions uncertainty for any gas. Indicative uncertainty for total emissions is from summing the squares of the weighted uncertainty of individual
gases (see 5.2.3.4 for more detail), which yields a total uncertainty of + / – 9 % for a 90 % confidence interval in 2010. We note, however, that there is insufficient published informa-
tion to make a rigorous assessment of global uncertainty and other estimates suggest different uncertainties. The calculation leading to 9 % assumes complete independence of
the individual gas-based estimates; if, instead, it is assumed that extreme values for the individual gases are correlated then the uncertainty range may be 19 %. Moreover, the 9 %
reported here does not include uncertainties related to the choice of index (see table 1.1) and Section 1.2.5.
a) b)
c)
Gas
Indirect
Buildings
12%
Other
Buildings
0.27%
Commercial
1.7%
Residential
4.4%
Indirect Transport
0.30%
Other
Transport
3.9%
Road
10.2%
Indirect
Industry
10.6%
Waste
2.9%
Industry
18%
Other
Energy
3.6%
Flaring and
Fugitive
6.0%
Electricity
and Heat
1.4%
Indirect
AFOLU
0.87%
AFOLU
24%
Direct +/- Indirect Emissions
CO
2
Fossil Fuel and
Industrial Processes
CO
2
FOLU
CH
4
N
2
O
HFC+PFC+SF
6
GHG Emissions [GtCO
2
eq/yr]
0
10
20
30
40
50
27 Gt
33 Gt
55%
17%
19%
7.9%
0.44%
58%
15%
18%
7.9%
0.67%
62%
13%
16%
6.9%
1.3%
38 Gt
40 Gt
59%
16%
18%
7.4%
0.81%
49 Gt
65%
11%
16%
6.2%
2.0%
20102010
2005
2000
1995
1990
1985
1980
1975
1970
+2.2%/yr
2000-10
+0.6%/yr
1990-00
+1.4%/yr
1980-90
+2.0%/yr
1970-80
Indirect EmissionsDirect Emissions
Buildings
Other
0.27%
Commercial
1.7%
Residential
4.4%
Transport
Other
3.9%
Road
10.2%
Waste
2.9%
Industry
18%
Energy
Other
3.6%
Flaring
and Fugitive
6.0%
Electricity
and Heat
Production
25%
AFOLU
23%
Buildings:
Commercial
5.1%
Buildings:
Residential
7.1%
Transport
0.30%
Industry
10.6%
Energy
1.4%
AFOLU
0.87%
124124
Introductory Chapter
1
Chapter 1
1�2�6 Emissions trajectories and implications
for Article 2
Chapter 1 of the WGIII AR4 found that, without major policy changes,
the totality of policy efforts do not put the planet on track for meeting
the objectives of Article 2 of the United Nations Framework Conven-
tion on Climate Change (UNFCCC) (IPCC, 2007a). Since then, emis-
sions have continued to grow — a topic we examine in more detail
below. Article 2 of the UNFCCC describes the ultimate objective of the
Convention. It states:
The ultimate objective of this Convention and any related legal
instruments that the Conference of the Parties may adopt is to
achieve, in accordance with the relevant provisions of the
Convention, 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.
(UNFCCC, 1992).
Interpreting the UNFCCC goal is difficult. The first part of Article 2,
which calls for stabilization of GHG concentration at levels that are not
‘dangerous,’ requires examining scientific climate impact assessments
as well as normative judgments — points that are explored in detail in
the WGII contribution. The second part of Article 2 is laden with condi-
tions whose interpretation is even less amenable to scientific analysis.
In light of the enormous variations in vulnerability to climate change
across regions and ecosystems, it is unlikely that scientific evidence
will conclude on a single such goal as ‘dangerous’. Variations in what
different societies mean by ‘dangerous’ and the risks they are will-
ing to endure further amplify that observation. Article 2 requires that
societies balance a variety of risks and benefits — some rooted in the
dangers of climate change itself and others in the potential costs and
benefits of mitigation and adaptation.
Since the publication of AR4 a series of high-level political events have
sought to create clarity about what Article 2 means in practice. For
example, the Bali Action Plan, adopted at COP 13 held in Bali, Indo-
nesia, in December 2007, cited AR4 as a guide for negotiations over
long-term cooperation to manage climate change. At the L’Aquila G8
Summit in 2009, five months before the COP15 meeting in Copenha-
gen, leaders “recognized the broad scientific view that the increase in
Table 1�1 | Implications of the choice of Global Warming Potential (GWP) for mitigation strategy. Table shows the main geophysical properties of the major Kyoto gases and the
implications of the choice of values for GWPs with different time horizons (20, 100, or 500 years) on the share of weighted total emissions for 2010; other IPCC chapters report
detail on alternative indexes such as Global Temperature change Potential (GTP) (Chapter 3; WGI Chapter 8). At present, the 100-year GWPs are used most widely, and we show
those values as reported in the IPCC Second Assessment Report (SAR) in 1995 and subsequently used in the Kyoto Protocol. Note that CO
2
is removed by multiple processes and
thus has no single lifetime (see WGI Box 6.1). We show CF
4
as one example of the class of perfluorocarbons (PFCs) and HFC-134a and HFC-23 as examples of hydrofluorocarbons
(HFCs). All other industrial fluorinated gases listed in the Kyoto Protocol (‘F-gases’) are summed. We do not show warming agents that are not included in the Kyoto Protocol, such
as black carbon. Emissions reported in JRC / PBL (2013) using GWPs reported in IPCC’s Second, Fourth and Fifth Assessment Reports (IPCC, 1995, 2007c, 2013a). The AR4 was used
for GWP-500 data; interpretation of long time horizon GWPs is particularly difficult due to uncertainties in carbon uptake and climate response — differences that are apparent in
how different models respond to different pulses and scenarios for CO
2
and the many nonlinearities in the climate system (see WGI, Supplemental Material 8.SM.11.4 and Joos
etal., 2013) and thus IPCC no longer reports 500 year GWPs. Due to changes in the GWP values from AR4 to AR5 the 500-year shares are not precisely comparable with the other
GWPs reported here. Geophysical properties of the gases drawn from WGI, Appendix 8.A, Table 8.A.1 — final draft data).
Geophysical properties GWP-weighted share of global GHG emissions in 2010
Kyoto gases
Atmospheric
lifetime (year)
Instantaneous
forcing
(W / m
2
/ ppb)
SAR (Kyoto)
WGI
(20 and 100 year from AR5 & 500 year from AR4)
100 years 20 years 100 years 500 years
CO
2
various 1.37 x 10
– 5
76 % 52 % 73 % 88 %
CH
4
12.4 3.63 x 10
– 4
16 % 42 % 20 % 7 %
N
2
O 121 3.00 x 10
– 3
6.2 % 3.6 % 5.0 % 3.5 %
F-gases: 2.0 % 2.3 % 2.2 % 1.8 %
HFC-134a 13.4 0.16 0.5 % 0.9 % 0.4 % 0.2 %
HFC-23 222 0.18 0.4 % 0.3 % 0.4 % 0.5 %
CF
4
50,000 0.09 0.1 % 0.1 % 0.1 % 0.2 %
SF
6
3,200 0.57 0.3 % 0.2 % 0.3 % 0.5 %
NF
3
* 500 0.20 not applicable 0.0 % 0.0 % 0.0 %
Other F-gases ** various various 0.7 % 0.9 % 0.8 % 0.4 %
*
NF
3
was added for the second commitment period of the Kyoto period, NF
3
is included here but contributes much less than 0.1 %.
**
Other HFCs, PFCs and SF
6
included in the Kyoto Protocol’s first commitment period. For more details see the Glossary (AnnexI).
125125
Introductory Chapter
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Chapter 1
global average temperature above pre-industrial levels ought not to
exceed 2 °C,” and they also supported a goal of cutting emissions at
least 80 % by 2050 (G8 Leaders, 2009). Later that year, an COP 15, dele-
gates ‘took note’ of the Copenhagen Accord which recognized “the sci-
entific view that the increase in global temperature should be below 2
degree Celsius,” and later meetings arrived at similar conclusions (Deci-
sion1 / CP.16). Ever since the 2009 Copenhagen Conference the goal of
1.5 degrees has also appeared in official UN documents, and some dele-
gations have suggested that a 1 degree target be adopted. Some schol-
ars suggest that these goals can create focal points that facilitate policy
coordination, although there is a variety of perspectives about whether
these particular goals are playing that role, in part because of grow-
ing evidence that they will be extremely difficult or impossible to attain
(Schneider and Lane, 2006; National Research Council of the National
Academies, 2011; Victor, 2011; Helm, 2012). Readers should note that
each major IPCC assessment has examined the impacts of multiplicity
of temperature changes but has left political processes to make deci-
sions on which thresholds may be appropriate (WGIII AR4 Chapter 1).
At present, emissions are not on track for stabilization let alone deep
cuts (see Section 1.3 below). This reality has led to growing research
on possible extreme effects of climate change and appropriate policy
responses. For example, Weitzman (2009) raised the concern that stan-
dard policy decision tools such as cost-benefit analysis and expected util-
ity theory have difficulty dealing with climate change decisions, owing
to the difficulty in assessing the probability of catastrophic impacts.
Partly driven by these concerns, the literature on geoengineering options
to manage solar radiation and possibly offset climate change along
with technologies that allow removal of CO
2
and other climate-altering
gases from the atmosphere has been increasing exponentially (see 6.9).
Because they have theoretically high leverage on climate, geoengineer-
ing schemes to alter the planet’s radiation balance have attracted par-
ticular attention; however, because they also create many risks that are
difficult if not impossible to forecast, only a small but growing number
of scientists have considered them seriously (Rickels etal. 2011; Gar-
diner 2010; IPCC 2012; Keith, Parson, and Morgan 2010).
1.3 Historical, current
and future trends
Since AR4 there have been new insights into the scale of the mitiga-
tion challenge and the patterns in emissions. Notably, there has been
a large shift in industrial economic activity toward the emerging coun-
tries — especially China — that has affected those nations’ emission
patterns. At the same time, emissions across the industrialized world
are largely unchanged from previous levels. Many countries have
adopted policies to encourage shifts to lower GHG emissions from the
energy system, such as through improved energy efficiency and greater
use of renewable energy technologies.
1�3�1 Review of four decades of greenhouse
gas emissions
While there are several sources of data, the analysis here relies on
the EDGAR data set (JRC / PBL, 2013) [see Annex II.9 Methods and
Metrics for a complete delineation of emission categories]. We focus
here on all major direct greenhouse gases (GHGs) related to human
activities — including carbon dioxide (CO
2
), methane (CH
4
), nitrous
oxide (N
2
O), perfluorocarbons (PFCs), hydrofluorocarbons (HFCs), and
sulphur hexafluoride (SF
6
). We also examine various ozone-depleting
substances (ODS), which are regulated under the Montreal Protocol
due to their effects on the ozone layer but also act as long-lived GHG:
chlorofluorocarbons (CFCs), hydrochlorofluorocarbons (HCFCs), and
halons. Due to lack of comparable data we do not here examine black
carbon, tropospheric ozone precursors, cooling aerosols, and nitrogen
trifluoride (NF
3
.) For the analyses that follow we use 100-year GWPs
from the SAR because they are widely used by governments, but we
are mindful that other time horizons and other global warming metrics
also merit attention (see 1.2.5 above).
By sector, the largest sources of greenhouse gases were the sectors of
energy production (34 %, mainly CO
2
from fossil fuel combustion), and
agriculture, forestry and land-use (AFOLU) (24 %, mainly CH
4
and N
2
O)
(Figure 1.3a). Within the energy sector, most emissions originate from
generation of electricity that is, in turn, used in other sectors. Thus,
accounting systems in other sectors often refer to direct emissions
from the sector (e. g., CO
2
emissions caused in industry during the pro-
duction of cement) as well as ‘indirect’ emissions that arise outside the
boundaries of that particular economic sector (e. g., the consumption
of electric power in buildings causes indirect emissions in the energy
supply sector (Figure 1.3a and 1.3b). Looking at the total source of
greenhouse gases at present CO
2
contributes 76 %; CH
4
about 16 %,
N
2
O about 6 % and the combined F-gases about 2 % (Figure 1.3c).
Following the breakdown in sectors discussed in this report (Chapters
7 to 11), Figure 1.3c looks at emissions over time by gas and sector.
Figure 1.4 looks at those patterns over time according to different
groups of countries, which reveals the effects of periodic economic
slowdowns and contractions on emissions. Globally, emissions of all
greenhouse gases increased by about 75 % since 1970. Over the last
two decades, a particularly striking pattern has been the globalization
of production and trade of manufactured goods (see Section 1.2.1.2
above). In effect, high-income countries are importing large embodied
emissions from the rest of the world, mainly the upper middle-income
countries (Figure 1.5).
Overall, per-capita emissions in the highly industrialized countries are
roughly flat over time and remain, on average, about 5 times higher
than those of the lowest income countries whose per-capita emis-
sions are also roughly flat. Per-capita emissions from upper-middle
income countries have been rising steadily over the last decade (see
inset to Figure 1.4). There are substantial differences between mean
and median per-capita emissions, reflecting the huge variation within
126126
Introductory Chapter
1
Chapter 1
Figure 1�4 | Global growth in emissions of GHGs by economic region. Main figure shows world total (top line) and growth rates per decade, as well as the World Bank’s four eco-
nomic regions (see Figure 1.1 caption for more detail). Inset shows trends in annual per capita mean (solid lines) and median (dotted lines) GHG emissions by region 1970 – 2010 in
tonnes of CO
2
eq (t / cap / yr) (United Nations, 2013a). Global totals include bunker fuels; regional totals do not. The data used is from the same sources reported in Figure 1.3c. Error
bars are approximated confidence interval of 1 standard deviation, derived by aggregating individual country estimates by gas and sector of the 16th and 84th emission percentiles
provided by the MATCH analysis (Höhne etal., 2011); data also available at http: / / www. match-info. net / . However, we note that this probably over-states actual uncertainty in the
totals, since individual country uncertainty estimates under this method are implicitly taken to be completely correlated. Thus, for the global totals we estimate a 90 % uncertainty
range using the same method as discussed for Figure 1.3c. While in 2010 the uncertainty using that method is 9 %, over the full time period of Figure 1.4 the value varies from 9 %
to 12 % with an average value of 10 %. We caution that multi-country and global uncertainty estimates remain an evolving area of research (see caption 1.3c and Section 5.2.3).
Uncertainties shown on this chart are at best indicative of the unknowns but are not a definitive assessment.
GHG Emissions [Gt/yr]
0
20102005200019951990198519801970 1975
10
20
30
80
90
100
110
40
50
60
70
+2.2%/yr
2000-10
+0.6%/yr
1990-00
+1.4%/yr
1980-90
+2%/yr
1970-80
0
2
8
6
4
10
12
14
16
18
20
High Income
Low Income
Lower Middle Income
Upper Middle
Per Capita Median and Average Emissions [(tCO
2
eq/cap)/yr]
1970 1980 1990 2000 2010
Low Income
Lower Middle Income
Upper Middle Income
High Income
Global
127127
Introductory Chapter
1
Chapter 1
these categories. Some very low income countries have extremely low
per-capita emissions while some upper middle income developing
countries have per-capita emissions comparable with those of some
industrialized nations.
Emissions from the energy sector (mainly electricity production) and
from transportation dominate the global trends. Worldwide power sec-
tor emissions have tripled since 1970 (see Figure 7.3), and transport
has doubled (see Figure 8.1). Since 1990 emissions from electricity and
heat production increased by 27 % for the group of OECD countries; in
the rest of the world the rise has been 64 % (see Figure 7.5). Over the
same period, emissions from road transport increased by 29 % in OECD
countries and 61 % in the other countries (see Figure 8.3). Emissions
from these systems depend on infrastructures such as power grids and
roads, and thus there is also large inertia as those infrastructures are
slow to change (Davis etal., 2010).
Forest related GHG emissions are due to biomass burning and decay of
biomass remaining after forest burning and after logging. In addition,
the data shown includes CO
2
emissions from decomposition of drained
peatland and from peat fires (Olivier and Janssens-Maenhout, 2012).
The forest related figures presented here are in line with the synthesis
paper by Houghton etal. (2012) on recent estimates of carbon fluxes
from land use and land cover change.
There has been a large effort to quantify the uncertainties in the histor-
ical emissions since AR4 was published. Such efforts have been difficult
due to the small number of truly independent data sources, especially
at the finest level of resolution such as emissions from particular sec-
tors and countries. Uncertainties are particularly large for greenhouse
gas emissions associated with agriculture and changes in land use. By
contrast, recent estimates of emissions from fossil fuel combustion var-
ied by only 2.7 % across the most widely used data sources (Macknick,
2011). In addition to variations in the total quantity of fossil fuel com-
busted, the coefficients used by IPCC to calculate emissions also vary
from 7.2 % for coal use in industry to 1.5 % for diesel used in road
transport (Olivier etal., 2010). Emissions from agriculture and land-
use change are estimated to vary by 50 % (Tubiello etal., 2013), and
a recent study that compared 13 different estimates of total emissions
from changes in land use found broadly comparable results (Houghton
etal., 2012). Since land use is a small fraction of total CO
2
emissions
the total estimate of anthropogenic CO
2
emissions has uncertainty of
only ± 10 % (UNEP, 2012). Looking beyond CO
2
, estimates for all other
warming gases are generally more uncertain. Estimated uncertainties
for global emissions of methane, nitrous oxide, and fluorine based
gases are ± 25 %, ± 30 %, and ± 20 % respectively (UNEP, 2012).
Statistically significant uncertainty quantifications require large inde-
pendent and consistent data sets or estimates, which generally do
not exist for historical GHG emission data. In such cases, uncertainty
is referred to as ‘indicative uncertainty’ based on the limited informa-
tion available that does not meet the standard of a rigorous statistical
analysis (see 5.2.3).
When adjusting emission statistics to assign indirect GHG emissions
from electricity and heat consumption to end-use sectors, as is done in
panel 1.3b, the main sectors affected are the industrial and buildings
sectors. Those sectors’ shares in global GHG emissions then increase by
11 % and 12 % to reach levels of 31 % (industry) and 19 % (buildings).
The addition of these so-called ‘Scope 2’ emissions is sometimes done
to show or analyze the more comprehensive impact of total energy con-
sumption of these end-use sectors to total energy-related emissions.
Figure 1.4 looks at these patterns from the global perspective over
time. The AR4 worked with the most recent data available at the time
(2004). Since then, the world has seen sustained accelerated annual
growth of emissions — driven by CO
2
emissions from fossil fuel com-
bustion. There was a temporary levelling off in 2008 linked to high fuel
prices and the gathering global economic crisis, but the sustained eco-
nomic growth in the emerging economies has since fuelled continued
Figure 1�5 | CO
2
emissions from fossil fuel combustion for the four economic regions
attributed on the basis of territory (solid line) and final consumption (dotted line) in
gigatonnes of CO
2
per year (Gt / yr). The shaded areas are the net CO
2
trade balance
(difference) between each of the four country groupings (see Figure 1.1) and the rest of
the world. Blue shading indicates that the region is a net importer of emissions, leading
to consumption-based CO
2
emission estimates that are higher than traditional terri-
tory-based emission estimates. Yellow indicates the reverse situation — net exporters of
embodied emissions. Low-income countries, because they are not major players in the
global trade of manufactured products, have essentially no difference between territory
and consumption based estimates. For high-income countries and upper-middle-income
countries, embodied emissions have grown over time. Figures based on Caldeira and
Davis (2011) and Peters etal. (2012b), but with data from Eora, a global multi-regional
input-output model (Lenzen etal., 2012, 2013).
Net Import
Net Export
Territory-Based
Consumption-Based
Attribution Principle
Transfer of Embodied CO
2
1990 1995 2000 2005 2010
0
2
4
6
8
10
12
14
16
18
Annual CO
2
Emissions [Gt/yr]
HIC
UMC
LMC
LIC
128128
Introductory Chapter
1
Chapter 1
growth in world emissions. This is particularly evident in the economic
data (Figure 1.1) showing that the large group of countries other than
the highly industrialized nations continue to grow despite the world
economic crisis. However, growth rates globally, including in these
rapidly rising countries, have been slower than the levels seen in the
1990s, which portends less rapid growth in world emissions.
Figure 1.6 shows global GHG emissions since 1970 in 20-year intervals
for the five economic sectors covered in Chapters 7 – 11, i. e., Energy
Systems, Transport, Buildings, Industry and Agriculture, Forestry and
Other Land Use (AFOLU). International transport (‘bunkers’) are shown
separately as these can neither be attributed to any of these economic
sectors or country grouping. In every country grouping except low-
income countries, total emissions have risen since 1970 with the larg-
est increases evident in energy systems. The only major sector that does
not display these globally rising trends is AFOLU as a growing number
of countries adopt policies that lead to better protection of forests,
improved yields in agriculture reduce pressure to convert natural for-
ests to cropland, and other trends allow for a ‘great restoration’ of pre-
viously degraded lands (Ausubel etal., 2013). In low-income countries
total emissions are dominated by trends in AFOLU; in all other country
groupings the energy system plays the central role in emissions.
It is possible to decompose the trends in CO
2
emissions into the vari-
ous factors that ‘drive’ these outcomes — an exercise discussed in
more detail in Chapter 5. One way to decompose the factors contribut-
ing to total emissions is by the product of population, GDP per capita,
energy intensity (total primary energy supply per GDP) and the carbon
intensity of the energy system (carbon emitted per unit energy). This
approach is also known as the ‘Kaya Identity’ (Kaya, 1990) and reso-
nates with similar earlier work (Holdren and Ehrlich, 1974). A variety of
studies have done these decompositions (Raupach etal., 2007; Steckel
etal., 2011; Cline, 2011; Akimoto etal., 2013). Figure 1.7 shows such
an analysis for the global level, and Chapter 5 in this report offers more
detailed decompositions.
The analysis reveals enhanced growth in the 2000s of global income,
which drove higher primary energy consumption and CO
2
emissions.
Figure 1�6 | Greenhouse gas emissions measured in gigatonnes of CO
2
eq per year (Gt / yr) in 1970, 1990 and 2010 by five economic sectors (Energy supply, Transport, Buildings,
Industry, as well as Agriculture, Forestry and Other Land Use (AFOLU) and four economic regions (see caption to Figure 1.1). ‘Bunkers’ refer to emissions from international trans-
portation and thus are not, under current accounting systems, allocated to any particular nation’s territory. Note: The direct emission data from JRC / PBL (2013) (see AnnexII.9)
represents land-based CO
2
emissions from forest and peat fires and decay that approximate to CO
2
flux from anthropogenic emissions sources in the FOLU (Forestry and Other Land
Use) sub-sector. For a more detailed representation of AFOLU GHG flux (Agriculture and FOLU) see Chapter 11, Section 11.2 and Figure 11.2 and 11.6. Source: same sources as
reported for Figure 1.3c. We do not report uncertainties because there isn’t a reliable way to estimate uncertainties resolved by regional group and sector simultaneously.
0.5Gt
0.6Gt
1.1Gt
3.2Gt
3.4Gt
3.4Gt
7.9Gt
18.3Gt
18.7Gt
18.3Gt
14.4Gt
9.8Gt
5.9Gt
5.6Gt
3.5Gt
Energy
Transport
Buildings
Industry
AFOLU
201019901970201019901970201019901970201019901970201019901970
GHG Emissions [GtCO
2
eq/yr]
0
5
10
15
20
High IncomeUpper Mid IncomeLower Mid IncomeLow IncomeBunkers
129129
Introductory Chapter
1
Chapter 1
(That pattern levelled around 2009 when the global recession began to
have its largest effects on the world economy.) Also notable is carbon
intensity: the ratio of CO
2
emissions to primary energy. On average,
since 1970 the world’s energy system has decarbonized. However, in
the most recent decade there has been a slight re-carbonization. In the
portions of the global economy that have grown most rapidly, low-car-
bon and zero-carbon fuels such as gas, nuclear power and renewables
have not expanded as rapidly as relatively high-carbon coal.
Interpreting the Kaya Identity using global data masks important
regional and local differences in these drivers. For example, the demo-
graphic transition in China is essentially completed while in Africa pop-
ulation growth remains a sizable driver. Technology — a critical factor
in improving energy and carbon intensities as well as access to energy
resources — varies greatly between regions (see Chapters 5 and 7). The
recent re-carbonization is largely the result of expanded coal combus-
tion in developing countries driven by high rates of economic growth,
while across the highly industrialized world carbon intensity has been
declining due to the shift away from high carbon fuels (notably coal)
to natural gas, renewables, and also to nuclear in some countries. The
simple Kaya identity relies on broad, composite indicators that nei-
ther explain causalities nor explicitly account for economic structures,
behavioural patterns, or policy factors, which again vary greatly across
regions. Technological change might allow for radically lower emis-
sions in the future, but the pattern over this four-decade history sug-
gests that the most important global driver of emissions is economic
growth.
Although the average per capita income levels in the large emerging
economies in 2010 were approximately 30 % or less of the per capita
income levels of OECD countries in 1980, their levels of carbon inten-
sity and energy intensity are comparable with those of North America
in the early 1980s (IEA, 2012b).
1�3�2 Perspectives on mitigation
Looking to the future, it is important to be mindful that the energy
system, which accounts for the majority of GHG emissions, is slow to
change even in the face of concerted policy efforts (Davis etal., 2010;
WEF, 2012; GEA, 2012). For example, many countries have tried to alter
trends in CO
2
emissions with policies that would make the energy sup-
ply system more efficient and shift to low emission fuels, including
renewables and nuclear power (Chapter 7).
There are many different perspectives on which countries and peoples
are accountable for the climate change problem, which should make
the largest efforts, and which policy instruments are most practical and
effective. Many of these decisions are political, but scientific analysis
can help frame some of the options. Here we look at six different per-
spectives on the sources and possible mitigation obligations for world
emissions — illustrated in Figure 1.8 and elsewhere in the chapter. This
discussion engages questions of burden sharing in international coop-
eration to mitigate climate change, a topic addressed in more detail in
Chapter 4.
One perspective, shown in panel A of Figure 1.8, concerns total emis-
sions and the countries that account for that total. Twenty countries
account for 75 % of world emissions; just five countries account for
about half. This perspective suggests that while all countries have
important roles to play, the overall impact of mitigation efforts are
highly concentrated in a few.
A second perspective, shown in panel B of Figure 1.8, concerns the
accumulation of emissions over time. The climate change problem is
fundamentally due to the ‘stock’ of emissions that builds up in the
atmosphere. Because of the long atmospheric lifetime of CO
2
, a frac-
tion of the CO
2
emitted to the atmosphere from James Watt’s steam
engine that in the late 18th century helped trigger the Industrial Revo-
lution still remains in the atmosphere. Several studies have accounted
in detail for the sources of emissions from different countries over time,
taking into account the geophysical processes that remove these gases
(Botzen etal., 2008; Höhne etal., 2011; Wei etal., 2012). Attributing
past cumulative emissions to countries is fraught with uncertainty and
depends on method applied and emissions sources included. Because
the uncertainties differ by source of emissions, panel B first shows just
cumulative emissions from industrial sources (left bar) and then adds
the lowest and highest estimates for emissions related to changes in
land use (middle two bars). Many studies on the concept of ‘histori-
cal responsibility’ look at cumulative emissions since 1751, but that
approach ignores the fact that widespread knowledge of the potential
Figure 1�7 | Decomposition of the change in total annual CO
2
emissions from fossil
fuel combustion by decade and four driving factors; population (light blue), GDP per
capita (dark blue), energy intensity of GDP (yellow) and carbon intensity of energy
(red orange). The bar segments show the changes associated with each factor alone,
holding the respective other factors constant. Total emission changes are indicated by
a white triangle. The change in emissions over each decade is measured in gigatonnes
of CO
2
per year [GtCO
2
/ yr]; economic output is converted into common units using
purchasing power parities; the use of market exchange rates would lower the share
associated with economic output although that would still be the largest single factor.
Source: updated from Steckel etal. (2011) using data from IEA (2012c; d).
1970-1980 1980-1990 1990-2000 2000-2010
-6
-4
-2
0
2
4
6
8
10
12
Change in Annual CO
2
Emissions by Decade [GtCO
2
/yr]
CarbonIntensity of Energy
EnergyIntensity of GDP
GDPperCapita
Population
TotalChange
6.8
2.5
2.9
4.0
130130
Introductory Chapter
1
Chapter 1
harms of climate change is only a more recent phenomenon — dat-
ing, perhaps, to around 1990 when global diplomatic talks that led
to the UNFCCC were fully under way. Thus the right bar in panel B
shows cumulative emissions for all sources of CO
2
(including a cen-
tral estimate for sources related to changes in land use) from 1990 to
2010. Each of these different methods leads to a different assignment
of responsible shares and somewhat different rankings. Other studies
have examined other time horizons (e. g., Le Quéré etal., 2012). Many
scholars who use this approach to analysing historical responsibility
and similar approaches to assessing possible future contributions often
refer to a fixed ‘carbon budget’ and identify the ‘gap’ between that
fixed budget and allowable future emissions (e. g., IPCC, 2013b; UNEP,
2011b; Chapter 6).
A few studies have extended the concepts of historical responsibility to
include other gases as well (den Elzen etal., 2013; Smith etal., 2013).
For simplicity, however, in panel B we report total cumulative emis-
sions of just CO
2
, the long-lived gas that accounts for the vast majority
of long-term climate warming. Adding other gases requires a model
that can account for the different atmospheric lifetimes of those gases,
which introduces yet more uncertainty and complexity in the analy-
sis of historical responsibility. The results of such analysis are highly
sensitive to choices made in the calculation. For example, the share
of developed countries can be almost 80 % when excluding non-CO
2
GHGs, Land Use, Land-Use Change, and Forestry, and recent emissions
(until 2010) or about 47 % when including these emissions (den Elzen
etal., 2013). As a general rule, because emissions of long-lived gases
are rising, while emissions of the distant past are highly uncertain,
their influence is overshadowed by the dominance of the much higher
emissions of recent decades (Höhne etal., 2011).
A third perspective concerns the effects of international trade. So far,
nearly all of the statistics presented in this chapter have been orga-
nized according to the national territory where the emissions are
released into the atmosphere. In reality, of course, some emissions are
‘embodied’ in products that are exported and discussed in more detail
in Section 1.2.2. A tonne of steel produced in China but exported to
the United States results in emissions in China when the fundamen-
tal demand for the steel originated in the United States. Comparing
the emissions estimated from consumption and production (left and
right bars of panel A) shows that the total current accounting for world
emissions varies considerably — with the largest effects on China and
the United States — although the overall ranking does not change
much when these trade effects are included. Figure 1.5 earlier in this
chapter as well as Section 1.2.1.2 present much more detailed infor-
mation on this perspective.
A fourth perspective looks at per-capita emissions, shown in panel C
of Figure 1.8. This perspective draws attention to fundamental differ-
ences in the patterns of development of countries. This panel shows
the variation in per-capita emissions for each of the four country
groupings. The large variation in emissions in low-income country
reflects the large role for changes in land use, such as deforestation
and degradation. There are some low-income countries with per-cap-
ita emissions that are higher than high-income nations. Some studies
have suggested that debates over concepts such as ‘common but dif-
ferentiated responsibility’ — the guiding principle for allocating miti-
gation efforts in talks under the UNFCCC — should focus on individu-
als rather than nations and assign equal per-capita emission rights to
individuals (Chakravarty etal., 2009). Still other studies have looked at
the historical cumulative per-capita emissions, thus combining two of
the different perspectives discussed here (Teng etal., 2012). Looking
within the categories of countries shown in panel C, some developing
countries already have higher per-capita emissions than some industri-
alized nations.
A fifth perspective is the carbon efficiency of different economies.
Economies vary in how they convert inputs such as energy (and thus
emissions associated with energy consumption) into economic value.
This efficiency is commonly measured as the ratio of emission to unit
economic output (CO
2
/ GDP) and illustrated in panel D of Figure 1.8.
Typically, economies at an earlier stage of development rely heavily
on extractive industries and primary processing using energy intensive
methods often reinforced with subsidies that encourage excessive con-
sumption of energy. As the economy matures it becomes more efficient
and shifts to higher value-added industries, such as services, that yield
low emissions but high economic output. This shift also often includes
a change from higher carbon primary fuels to less carbon-intensive
fuels. From this perspective, emission obligations might be adjusted to
reflect each country’s state of economic development while creating
incentives for countries to transition to higher economic output with-
out concomitant increases in emissions.
A sixth perspective (panel E of Figure 1.8) looks at the change of emis-
sions between 1990 and 2010. 1990 is a base year for most of the
Annex B countries in the Kyoto Protocol. That panel divides the world
into three groups — the countries (listed in Annex B) that agreed to
targets under the Kyoto Protocol and which formally ratified the Pro-
tocol; countries listed in Annex B but which never ratified the treaty
(United States) or withdrew (Canada); and countries that joined the
Kyoto Protocol but had no formal quantitative emission control tar-
gets under the treaty. If all countries listed in Annex B had joined and
remained members of the Protocol those countries, on average, would
have reduced emissions more than 5 % between 1990 and the compli-
ance period of 2008 – 2012. From 1990 to 2008 – 2011, the Annex B
nations have reduced their collective emissions by 20 % excluding the
United States and Canada and by 9 % if including them, even without
obtaining emission credits through the Kyoto Protocol’s Clean Devel-
opment Mechanism (CDM) (UNFCCC, 2013a). (As already noted, the
United States never ratified the Kyoto Protocol; Canada ratified but
later withdrew.) However, some individual countries will not meet
their national target without the CDM or other forms of flexibility that
allow them to assure compliance. The trends on this panel reflect
many distinct underlying forces. The big decline in Ukraine, Russia, the
12 new members of the EU (EU+12) and one of the original EU mem-
bers (Germany, which now includes East Germany) reflect restructur-
131131
Introductory Chapter
1
Chapter 1
Cumulative Percent of CO
2
[%]
0
100
75
25
50
Territorial
(2010)
Consumption
(2010)
MEX: 1.4%
CHN: 26%
USA: 17.2%
IND: 6.6%
RUS: 5.1%
JPN: 3.7%
DEU: 2.4%
IRN: 2%
KOR: 1.7%
CAN: 1.6%
ZAF: 1.6%
IDN: 1.6%
GBR: 1.5%
SAU: 1.5%
Other: 26.1%
SAU: 1.2%
CHN: 21.9%
USA: 18.1%
IND: 6%
JPN: 4.6%
RUS: 4.1%
DEU: 2.9%
GBR: 2%
KOR: 2%
IRN: 1.8%
ITA: 1.8%
CAN: 1.8%
FRA: 1.7%
IDN: 1.5%
MEX: 1.5%
BRA: 1.4%
Other: 25.8%
a)
Cumulative Percent of CO
2
[%]
All Sectors
(1990-2010)
All w/High LUCF
(1751-2010)
All w/Low LUCF
(1751-2010)
Energy and Industry
(1751-2010)
Other: 24.9%
CHN: 14.9%
USA: 17.9%
IDN: 5.3%
RUS: 5.8%
JPN: 4%
BRA: 3.6%
IND: 3.5%
DEU: 3%
FRA: 1.3%
GBR: 1.8%
KOR: 1.4%
MEX: 1.6%
UKR: 1.2%
MYS: 1.1%
POL: 1.1%
AUS: 1.5%
IRN: 1.3%
COD: 1.3%
ITA: 1.5%
CAN: 2%
THA: 0.8%
CHN: 11.8%
USA: 18.8%
IDN: 6.1%
RUS: 5.9%
BRA: 4.4%
IND: 3.7%
GBR: 3.2%
DEU: 3.1%
FRA: 1.8%
CAN: 2.1%
JPN: 2.9%
MEX: 1.5%
UKR: 1.3%
MYS: 1.5%
POL: 1.4%
AUS: 1.4%
COD: 1.2%
ITA: 1%
COL: 1%
MMR: 1%
MEX: 1.2%
USA: 24.9%
CHN: 12%
RUS: 7.8%
GBR: 4.8%
DEU: 4.8%
FRA: 2.5%
BRA: 3%
JPN: 3.3%
CAN: 2.4%
IND: 2%
IDN: 2.2%
POL: 2%
UKR: 1.6%
ITA: 1.4%
AUS: 1.2%
USA: 27.9%
CHN: 9.9%
RUS: 6.9%
GBR: 5.9%
DEU: 5.6%
JPN: 4.3%
FRA: 2.9%
IND: 2.6%
POL: 2.3%
CAN: 2.2%
UKR: 1.9%
ITA: 1.7%
Other: 24.7% Other: 24% Other: 24.2%
0
100
75
25
50
b)
⇒
132132
Introductory Chapter
1
Chapter 1
0 70,00060,00050,00040,00030,00020,00010,000
0.0 6.05.04.03.02.01.0
0
0.5
3.5
4.0
1.5
2.5
1.0
2.0
3.0
0
5
15
25
10
20
35
30
Cumulative Population [Billions]
CAF
CAF (164)
AUS
AUS
USA
USA
SAU
SAU
IRN
IRN
ZAF
ZAF
BRA
ITA
BRA
ITA
FRA
FRA
IDN
IND
IDN
CHN
CHN
MEX
MEX
IND
COD (53)
RUS
RUS
CAN
CAN
KOR
KOR
JPN
JPN
GBR
GBR
DEU
DEU
Other
Annex-I
Other
Annex-I
Other
Non-Annex-I
Other
Non-Annex-I
Other Gases
CO
2
Land use
Non-Annex IAnnex I
CO
2
Energy
Other Gases
CO
2
Land use
CO
2
Energy
0
5
10
15
20
Per Capita GHG Emissions 2010 [(tCO
2
eq/cap)/yr]
Low
Income
Lower
Middle
Income
Upper
Middle
Income
High
Income
10
th
/90
th
Percentile
25
th
/75
th
Percentile
Median
Mean
Per Capita GHG Emissions 2010 [(tCO
2
eq/cap)/yr]
Other Gases
CO
2
Land use
Non-Annex IAnnex I
CO
2
Energy
Other Gases
CO
2
Land use
CO
2
Energy
GHG Emission Intensity 2010 [kgGHG/USD
2005
GDP (PPP)]
Cumulative GDP (PPP)[Billions of USD
2005
]
COD
0
1
2
3
4
5
6
GHG Emission Intensity 2010
[kg CO
2
eq/USD
2005
GDP (PPP)]
Low
Income
Lower
Middle
Income
Upper
Middle
Income
High
Income
10
th
/90
th
Percentile
25
th
/75
th
Percentile
Median
Mean
d)
c)
⇒
133133
Introductory Chapter
1
Chapter 1
ing of those economies in the midst of a large shift away from central
planning. Some of those restructuring economies used base years
other than 1990, a process allowed under the Kyoto Protocol, because
they had higher emissions in earlier years and a high base year arith-
metically leads to larger percentage reductions. The relatively flat
emissions patterns across most of the industrialized world reflect the
normal growth patterns of mature economies. The sharp rise in emerg-
ing markets, notably China and India, reflect their rapid industrializa-
tion — a combination of their stage of development and pro-growth
economic reforms.
There are many ways to interpret the message from this sixth perspec-
tive, which is that all countries collectively are likely to comply with the
Kyoto Protocol. One interpretation is that treaties such as the Kyoto
Protocol have had some impacts on emissions by setting clear stan-
dards as well as institutional reforms that have led countries to adjust
their national laws. From that perspective, the presence of the Kyoto
obligations is why nearly all the countries that ratified the Kyoto obli-
gations are likely to comply. Another interpretation is that the Kyoto
Protocol is a fitting illustration of the concept of ‘common but differ-
entiated responsibility’, which holds that countries should undertake
different efforts and that those most responsible for the underlying
problem should do the most. Still another interpretation is that choice
of Kyoto obligations largely reveals ‘selection effects’ through which
countries, in effect, select which international commitments to hon-
our. Countries that could readily comply adopted and ratified bind-
ing limits; the others avoided such obligations — a phenomenon that,
according to this perspective, is evident not just in climate change
agreements but other areas of international cooperation as well (e. g.,
Downs, Rocke, and Barsoom, 1996; Victor 2011).
Figure 1�8 | Multiple perspectives on climate change mitigation. Panel A: 2010 emission, ranked in order for the top 75 % of global total. Left bar shows ranking with consumption-
based statistics, and right bar shows territorial-based (see Figure 1.5 for more detail). Panel B: Cumulative emissions since 1750 (left three bars) and since 1990 (right bar) for four
different methods of emission accounting. The first method looks just at industrial sources of CO
2
(left bar); the second method adds to those industrial sources the lowest plausible
estimate for emissions related to changes in land use (second bar), the third uses the highest plausible estimate for land use (third bar) and the final method uses median estimates
for land use emissions along with median industrial emissions. (We focus here on uncertainty in land use emissions because those have higher variation than industrial sources.)
Panel C: ranking of per-capita emissions by country as well as (inset) for the four groupings of countries Shadings show the 10th to 90th percentile range (light) as well as the 25th
to 75th percentile range (dark); horizontal bars identify the median and diamonds the mean. Panel D: Ranking of carbon intensity of economies (emissions per unit GDP, weighted
with purchasing power parity) as a function of total size of the economy as well as (inset) for the four groupings of countries Shadings show the 10th to 90th percentile range (light)
as well as the 25th to 75th percentile range (dark); horizontal bars identify the median and diamonds the mean. Country names are abbreviated using the three letter standardiza-
tion maintained by the International Organization for Standardization (ISO, standard 3166). Panel E: Emissions changes from 1990 to 2012 divided into Annex B of the Kyoto Proto-
col (countries with quantified emission targets, red orange), countries that were eligible for Annex B but are not members (Canada and the United States, yellow) and non-Annex B
countries (blue). Sources: Panel A: based on Peters etal., 2011 data; Panel B: based on MATCH data (Höhne etal., 2011). High and low plausible values for land use emissions are
two different datasets provided in the MATCH analysis (see Figure 1.4 for more detail and caveat); since the MATCH analysis is based on actual emission data up to 2005, the last
four years are were taken from the Historic Emission Database EDGAR / IEA emission data (JRC / PBL, 2013, IEA, 2012a, See AnnexII.9). Panel C: JRC / PBL, 2013 and United Nations,
2013a; Panel D: emissions from JRC / PBL, 2013 and national income PPP-adjusted from World Bank World Development Indicators; Panel E: JRC / PBL, 2013.
Ukraine
USA
Other non B
China
Indonesia
India
South Korea
Brazil
South Africa
Mexico
Canada
Other B
Australia
Japan
EU15
EU+12
Russia
0.00093 Gt
3.3 Gt
6.9 Gt
0.77 Gt
1.3 Gt
0.33 Gt
0.11 Gt
0.18 Gt
0.12 Gt
0.57 Gt
0.17 Gt
0.11 Gt
0.054 Gt
-0.34 Gt
-0.38 Gt
-1.1 Gt
-0.56 Gt
1990-2010 Change in GHG Emissions [GtCO
2
eq]
6.0
-1.0
0.0
2.0
4.0
Non-Annex B
Non Member
Kyoto Group
Annex B
e)
134134
Introductory Chapter
1
Chapter 1
Still other interpretations are possible as well, with varied implications
for policy strategies and the allocation of burdens and benefits among
peoples and nations.
1�3�3 Scale of the future mitigation challenge
Future emission volumes and their trajectories are hard to estimate,
and there have been several intensive efforts to make these projec-
tions. Most such studies start with one or more ‘business-as-usual
(BAU)’ projections that show futures without further policy interven-
tions, along with scenarios that explore the effects of policies and sen-
sitivities to key variables. Chapter 5 looks in more detail at the long-
term historical trends in such emissions, and Chapter 6 examines the
varied models that are widely used to make emission projections.
Using the WGIII AR5 Scenario Database, comprised of those models
described in Chapter 6 (See Annex II.10), Figure 1.9 also shows the
emission trajectories over the long sweep of history from 1750 through
the present and then projections out to 2100.
The long-term scenarios shown on Figure 1.9 illustrate the emissions
trajectories that would be needed to stabilize atmospheric concen-
trations of greenhouse gases at the equivalent of around 450 ppm
(430 – 480) and 550 ppm (530 – 580) CO
2
eq by 2100. The scenarios
centered on 450 ppm CO
2
eq are likely (>66 % chance) to avoid a rise
in temperature that exceeds 2 degrees above pre-industrial levels.
Scenarios reaching 550 ppm CO
2
eq have less than a 50 % chance of
avoiding warming more than 2 degrees, and the probability of limit-
ing warming to 2 degrees further declines ifthere is significant over-
shoot of the 550 ppm CO
2
eq concentration. It is important to note
that there is no precise relationship between such temperature goals
and the accumulation of emissions in the atmosphere largely because
the sensitivity of the climate system to changes in atmospheric con-
centrations is not known with precision. There is also uncertainty in
the speed at which future emissions will be net removed from the
atmosphere by natural processes since those processes are not per-
fectly understood. If removal processes are relatively rapid and climate
sensitivity is low, then a relatively large quantity of emissions might
lead to small changes in global climate. If those parameters prove to
have less favourable values then even modest increases in emissions
could have big impacts on climate. These uncertainties are addressed
in much more detail in WGI Chapter 12 and discussed in Chapter 6 of
this report as well. While these uncertainties in how the natural system
will respond are important, recent research suggests that a wide range
of uncertainties in social systems — such as the design of policies
and other institutional factors — are likely to be a much larger factor
in determining ultimate impacts on warming from human emissions
(Rogelj etal., 2013a; b).
Figure 1.9 underscores the scale of effort that would be needed to
move from BAU emissions to goals such as limiting warming to 2
degrees. The rapid rise in emissions since 1970 (left inset) is in stark
contrast with the rapid decline that would be needed over the com-
ing century. Because it is practically difficult to orient policy around
very long term goals, the middle inset examines the coming few
decades — the period during which emissions would need to peak and
then decline if stabilization concentrations such as 450 or 550 ppm
CO
2
eq are to be achieved.
A variety of studies have probed whether national emission reduction
pledges, such as those made in the aftermath of the Copenhagen con-
ference, would be sufficient to put the planet on track to meet the 2
degree target (Den Elzen etal., 2011; Rogelj etal., 2011). For example,
Den Elzen etal. (2011) found the gap between allowable emissions to
maintain a ‘medium’ chance (50 – 66 %) of meeting the 2 degree tar-
get and the total reduction estimated based on the pledges made at
and after COP 15, are as big as 2.6 – 7.7 GtCO
2
e in 2020; that analysis
assumed that countries would adopt least-cost strategies for mitiga-
tion emissions, but if less idealized scenarios are followed, then the
gap would be even larger. A large number of other studies also look
at the size of the gap between emission trajectories and the levels
needed to reach goals such as 2 degrees (Clarke etal., 2009; Cline,
2011; Yamaguchi, 2012). By logical extension, limiting warming to 1.5
degrees (or even 1 degree, as some governments and analysts suggest
should be the goal) is even more challenging. In a major inter-com-
parison of energy models, eight of 14 scenarios found that stabilizing
concentrations at 450 ppm CO
2
eq (which would be broadly consistent
with stabilizing warming at 2 degrees) would be achievable under
optimal conditions in which all countries participated immediately in
global regulation of emissions and if a temporary overshooting of the
450 ppm goal were allowed (Clarke etal., 2009). As a general rule,
it is still difficult to assess scientifically whether the Cancun pledges
(which mainly concern the year 2020) are consistent with most long-
term stabilization scenarios because a wide range of long-term sce-
narios is compatible with a wide range of 2020 emissions; as time
progresses to 2030 and beyond, there is a tighter constraining rela-
tionship between allowable emissions and long-term stabilization
(Riahi etal., 2013). The middle inset in figure 1.9 shows those pledges
and suggests that they may be consistent with some scenarios that
stabilize concentrations at around 550 ppm CO
2
eq but are inconsis-
tent with the least cost scenarios that would stabilize concentrations
at 450 ppm CO
2
eq.
There is no simple relationship between the next few decades and
long-term stabilization because lack of much mitigation in the next
decades can, in theory, be compensated by much more aggressive mit-
igation later in the century — if new zero- and negative-emission tech-
nologies become available for widespread use. That point is illustrated
in the upper right inset which shows how assumptions about the tim-
ing of mitigation and the availability of technologies affects a subset
of scenarios that stabilize concentrations between 450 ppm CO
2
eq and
550 ppm CO
2
eq. Least cost, optimal scenarios depart immediately from
BAU trajectories. However, such goals can be reached even if there
are delays in mitigation over the next two decades provided that new
technologies become available that allow for extremely rapid reduc-
tions globally in the decades immediately after the delay.
Figure 1�9 | The scale of the mitigation effort needed. Main figure shows the sweep of history from 1750 to 2010 (actual emission estimates) and published projections out to
the future. Projections include baseline scenarios that do not assume new mitigation policies (grey shading), baseline scenarios that assume aggressive spread of energy efficiency
technologies and changes in behaviour (purple shading), mitigation scenarios that reach concentration levels of about 550 ppm CO
2
eq (yellow) and 450 ppm CO
2
eq (blue).(The
mitigation scenarios include those that assume optimal regulation over time and those with delays to 2030). The bottom left inset shows recent historical emissions and is the same
as Figure 1.3c. The top left inset shows the same scenarios from the main figure, but with more detail over the next few decades, including the relationship between the Cancun
pledges and the various stabilization scenarios. The top right panel looks instead at long-term patterns in emissions and explores the effects of delays to 2030. It focuses on a subset
of the mitigation scenarios from the main panel that are consistent with limiting atmospheric concentrations of CO
2
to about 450 ppm CO
2
eq to 500 ppm CO
2
eq — a goal broadly
consistent with limiting warming to about 2 degrees above pre-industrial levels by 2100 and thus a topic that many models have examined in some detail.The dark green fans
show model estimates for optimal least cost strategies for stabilization; light green fans show least cost mitigation with emissions that track baseline scenarios until 2030 and then
make deep cuts with the assumption that new technologies come into place. Chart also shows in light black a subset of scenarios based on the premise that very large quantities
of net negative emissions (about 40 GtCO
2
eq / yr by 2100) can be achieved and thus illustrate how assumptions of negative emissions technology may influence the expected time
path of emissions.The black scenarios, the output of just one model, entail substantial overshoot of concentrations before stabilization is achieved and unlikely to limit warming
to 2 degrees (see Chapter 6). Sources: Historical data drawn from EDGAR / IEA databases reported in IEA, 2012a See AnnexII.9; projections drawn from the WGIII AR5 Scenarios
Database described in greater detail in AnnexII.10; estimates of the impact of the Copenhagen pledges reported in Chapter 13.
1850 1900 1950 2000 2050 2100
-50
0
50
100
150
200
250
700
600
500
400
300
GHG Emissions [GtCO
2
eq]
2000 2005 2010 2015 2020 2025 2030
GHG Emissions [GtCO
2
eq]
20
30
40
50
60
70
80
2000 2020 2040 2060 2080 2100
GHG Emissions [GtCO
2
eq]
-40
-20
0
20
40
60
80
100
140
120
Cancun Pledges
450 ppm CO
2
eq
550 ppm CO
2
eq
Baseline, Low EI
Baseline Scenarios
450 ppm CO
2
eq
550 ppm CO
2
eq
Baseline, Low EI
Baseline Scenarios
450-500 ppm Without Delays
450-500 ppm With Delays
Baseline, Low EI
Baseline Scenarios
GHG Emissions [GtCO
2
eq/yr]
0
10
20
30
40
50
2010200520001995199019851980
19751970
CO
2
Fossil Fuel
and Industrial
Process
CO
2
FOLU
CH
4
N
2
O
HFC+PFC+SF
6
Gas
60
135135
Introductory Chapter
1
Chapter 1
Still other interpretations are possible as well, with varied implications
for policy strategies and the allocation of burdens and benefits among
peoples and nations.
1�3�3 Scale of the future mitigation challenge
Future emission volumes and their trajectories are hard to estimate,
and there have been several intensive efforts to make these projec-
tions. Most such studies start with one or more ‘business-as-usual
(BAU)’ projections that show futures without further policy interven-
tions, along with scenarios that explore the effects of policies and sen-
sitivities to key variables. Chapter 5 looks in more detail at the long-
term historical trends in such emissions, and Chapter 6 examines the
varied models that are widely used to make emission projections.
Using the WGIII AR5 Scenario Database, comprised of those models
described in Chapter 6 (See Annex II.10), Figure 1.9 also shows the
emission trajectories over the long sweep of history from 1750 through
the present and then projections out to 2100.
The long-term scenarios shown on Figure 1.9 illustrate the emissions
trajectories that would be needed to stabilize atmospheric concen-
trations of greenhouse gases at the equivalent of around 450 ppm
(430 – 480) and 550 ppm (530 – 580) CO
2
eq by 2100. The scenarios
centered on 450 ppm CO
2
eq are likely (>66 % chance) to avoid a rise
in temperature that exceeds 2 degrees above pre-industrial levels.
Scenarios reaching 550 ppm CO
2
eq have less than a 50 % chance of
avoiding warming more than 2 degrees, and the probability of limit-
ing warming to 2 degrees further declines ifthere is significant over-
shoot of the 550 ppm CO
2
eq concentration. It is important to note
that there is no precise relationship between such temperature goals
and the accumulation of emissions in the atmosphere largely because
the sensitivity of the climate system to changes in atmospheric con-
centrations is not known with precision. There is also uncertainty in
the speed at which future emissions will be net removed from the
atmosphere by natural processes since those processes are not per-
fectly understood. If removal processes are relatively rapid and climate
sensitivity is low, then a relatively large quantity of emissions might
lead to small changes in global climate. If those parameters prove to
have less favourable values then even modest increases in emissions
could have big impacts on climate. These uncertainties are addressed
in much more detail in WGI Chapter 12 and discussed in Chapter 6 of
this report as well. While these uncertainties in how the natural system
will respond are important, recent research suggests that a wide range
of uncertainties in social systems — such as the design of policies
and other institutional factors — are likely to be a much larger factor
in determining ultimate impacts on warming from human emissions
(Rogelj etal., 2013a; b).
Figure 1.9 underscores the scale of effort that would be needed to
move from BAU emissions to goals such as limiting warming to 2
degrees. The rapid rise in emissions since 1970 (left inset) is in stark
contrast with the rapid decline that would be needed over the com-
Figure 1�9 | The scale of the mitigation effort needed. Main figure shows the sweep of history from 1750 to 2010 (actual emission estimates) and published projections out to
the future. Projections include baseline scenarios that do not assume new mitigation policies (grey shading), baseline scenarios that assume aggressive spread of energy efficiency
technologies and changes in behaviour (purple shading), mitigation scenarios that reach concentration levels of about 550 ppm CO
2
eq (yellow) and 450 ppm CO
2
eq (blue).(The
mitigation scenarios include those that assume optimal regulation over time and those with delays to 2030). The bottom left inset shows recent historical emissions and is the same
as Figure 1.3c. The top left inset shows the same scenarios from the main figure, but with more detail over the next few decades, including the relationship between the Cancun
pledges and the various stabilization scenarios. The top right panel looks instead at long-term patterns in emissions and explores the effects of delays to 2030. It focuses on a subset
of the mitigation scenarios from the main panel that are consistent with limiting atmospheric concentrations of CO
2
to about 450 ppm CO
2
eq to 500 ppm CO
2
eq — a goal broadly
consistent with limiting warming to about 2 degrees above pre-industrial levels by 2100 and thus a topic that many models have examined in some detail.The dark green fans
show model estimates for optimal least cost strategies for stabilization; light green fans show least cost mitigation with emissions that track baseline scenarios until 2030 and then
make deep cuts with the assumption that new technologies come into place. Chart also shows in light black a subset of scenarios based on the premise that very large quantities
of net negative emissions (about 40 GtCO
2
eq / yr by 2100) can be achieved and thus illustrate how assumptions of negative emissions technology may influence the expected time
path of emissions.The black scenarios, the output of just one model, entail substantial overshoot of concentrations before stabilization is achieved and unlikely to limit warming
to 2 degrees (see Chapter 6). Sources: Historical data drawn from EDGAR / IEA databases reported in IEA, 2012a See AnnexII.9; projections drawn from the WGIII AR5 Scenarios
Database described in greater detail in AnnexII.10; estimates of the impact of the Copenhagen pledges reported in Chapter 13.
1850 1900 1950 2000 2050 2100
-50
0
50
100
150
200
250
700
600
500
400
300
GHG Emissions [GtCO
2
eq]
2000 2005 2010 2015 2020 2025 2030
GHG Emissions [GtCO
2
eq]
20
30
40
50
60
70
80
2000 2020 2040 2060 2080 2100
GHG Emissions [GtCO
2
eq]
-40
-20
0
20
40
60
80
100
140
120
Cancun Pledges
450 ppm CO
2
eq
550 ppm CO
2
eq
Baseline, Low EI
Baseline Scenarios
450 ppm CO
2
eq
550 ppm CO
2
eq
Baseline, Low EI
Baseline Scenarios
450-500 ppm Without Delays
450-500 ppm With Delays
Baseline, Low EI
Baseline Scenarios
GHG Emissions [GtCO
2
eq/yr]
0
10
20
30
40
50
2010200520001995199019851980
19751970
CO
2
Fossil Fuel
and Industrial
Process
CO
2
FOLU
CH
4
N
2
O
HFC+PFC+SF
6
Gas
60
136136
Introductory Chapter
1
Chapter 1
Determining the exact cost required to achieve any particular goal is
difficult because the models that are used to analyze emissions must
contend with many uncertainties about how the real world will evolve.
While the list of those uncertainties is long, the model outcomes are
particularly sensitive to five that are discussed in much more detail in
Chapter 6:
• Participation. Studies typically analyze scenarios in which all
nations participate with the same timing and level of effort, which
also probably leads to the least costly total level of effort. However,
a variety of ‘delayed participation’ scenarios are also analyzed, and
with delays it becomes more difficult (and costly) to meet mitiga-
tion goals (Bertram etal., 2013; Riahi etal., 2013; Rogelj etal.,
2013b; Luderer etal., 2013).
• International institutions. Outcomes such as global participa-
tion will require effective institutions, such as international agree-
ments on emission reductions and schemes like international trad-
ing of emission offsets and financial transfers. If those institutions
prove difficult to create or less than optimally effective then global
mitigation goals are harder to reach.
• Technology. The least cost outcomes (and greatest ease in meet-
ing mitigation goals) require that all emission control technolo-
gies be available as quickly as possible. In many models, meeting
aggressive goals also requires the availability of negative emission
technologies — for example, power plants fired with biomass and
including carbon dioxide capture and storage. No such plant actu-
ally exists in the world today and with pessimistic assumptions
about the availability of such technologies it becomes much harder
or impossible to reach aggressive mitigation goals (Edenhofer
etal., 2010; Tavoni etal., 2012; Eom etal., 2013; Kriegler etal.,
2013).
• Economic growth. Typically, these models assume that if eco-
nomic growth is high then so are emissions (and, in some models,
so is the rate of technological innovation). Of course, in the real
world, countries can delink economic output and emissions, such
as through mitigation policy. More pessimistic assumptions about
growth can make emission goals easier to reach (because there is
a smaller gap between likely and desired emissions) or harder to
reach (because technologies will not be invented as quickly).
• Peak timing. Because long-term climate change is driven by the
accumulation of long-lived gases in the atmosphere (notably CO
2
),
these models are sensitive to the exact year at which emissions
peak before emission reductions slow and then stop accumulation
of carbon in the atmosphere. Models that allow for early peaks
create more flexibility for future years, but that early peak also
requires the early appearance of mitigation technologies. Later
peak years allow for delayed appearance of new technologies but
also require more aggressive efforts after the peak. Some models
also allow for an ‘overshoot’ of peak concentrations, which makes
it easier for the model to reach long-term stabilization but lowers
the odds that stabilization will limit actual warming to a particular
target.
In general, only when the most flexible assumptions are made — such
as permission for some temporary overshooting of goals and allow-
ing models the maximum flexibility in the technologies that are uti-
lized — is the result a least cost outcome. Since AR4, the modeling com-
munity has devoted much more attention to varying those assumptions
to allow for less flexible assumptions that are typically better tuned
to real world difficulties. These more realistic assumptions are often
called ‘second best’ or ‘less idealized’. At present, with the most flex-
ible idealized assumptions several models suggest that the goal of
reaching 2 degrees is feasible. With a variety of less ideal — but more
realistic — assumptions that goal is much more difficult to reach, and
many models find the goal infeasible or exceptionally expensive. These
practical difficulties suggest that while optimal analyses are interest-
ing, the real world may follow pathways that are probably more costly
and less environmentally effective than optimal outcomes. They are
also a reminder that such models are a portrayal of the world that
Figure 1�10 | The effects of real world assumptions on mitigation costs. Relative mitiga-
tion cost increase in case of technology portfolio variations compared to a scenario with
default technology assumptions for stabilizing atmospheric GHG concentrations centered
on 450 ppm (430 – 480 ppm, right) and 550 ppm (530 – 580 ppm, left) CO
2
eq in the year
2100. Boxplots show the 25th to 75th percentile range with median value (heavy line)
and unshaded area the total range across all reported scenarios, with the caveat that the
numbers of scenarios used in such analyses is relatively small. Scenario names on x-axis
indicate the technology variation relative to the default assumptions: Low Energy Inten-
sity= energy intensity rising at less than standard values, such as due to extensive use of
energy efficiency programs and technologies (N = 7, 12); No CCS = CCS technologies
excluded (N = 3, 11); Limited Bioenergy = maximum of 100 EJ / yr bioenergy supply (N =
7, 12). Source: redrawn from Figure 5 in Kriegler etal. (2013) and Figure 6.24.
Low Energy
Intensity
Limited
Bioenergy
No CCSLow Energy
Intensity
Limited
Bioenergy
No CCS
0
1
2
3
4
5
Mitigation Costs Relative to Default Technology Assumptions
430-480 ppm CO
2
eq530-580 ppm CO
2
eq
Min
75
th
Percentile
Max
Median
25
th
137137
Introductory Chapter
1
Chapter 1
is necessarily simplified and highly dependent on assumptions. There
can be many unforeseen changes that make such goals easier or more
difficult to reach. For example, unexpectedly high economic growth
and expansion of coal-fired electricity has raised emissions and made
goals harder to reach; unexpected innovations in renewables, energy
efficiency and natural gas are possibly making climate goals easier to
reach.
The importance of these real world approaches to analysis is illustrated
in Figure 1.10, which shows how different assumptions about energy
intensity (which is related to human behaviour) and the availability
of technologies affect the estimated total cost. Compared with costs
under default technology assumption, if energy intensity is assumed to
improve rapidly (Low EI) the total cost for mitigating to 430 – 480 ppm
CO
2
eq (right boxplot) or 530 – 580 ppm CO
2
eq (left boxplot) then costs
are cut in half. (These low EI scenarios are shown, as well, in purple
on Figure 1.9 — they lead, systematically, to emissions that are signifi-
cantly lower than standard BAU scenarios.) Most studies that look at
technological and behavioural assumptions conclude that real-world
costs could be higher than typical, optimal estimates. For example, if
CCS technologies are not available then the cost of meeting 450 ppm
stabilization could be 1.5 times to 4 times greater than compared to
full CCS availability. Similarly, if there is limited bioenergy supply then
costs could be dramatically higher than standard least cost estimates.
1.4 Mitigation challenges
and strategies
While this report addresses a wide array of subjects related to climate
change, our central purpose is to discuss mitigation of emissions. The
chapters that follow will examine the challenges for mitigation in
more detail, but five are particularly notable. These challenges, in many
respects, are themes that will weave through this report and appear in
various chapters.
1�4�1 Reconciling priorities and achieving
sustainable development
Climate change is definitely one of the most serious challenges
human beings face. However, it is not the only challenge. For exam-
ple, a survey of the Millennium Development Goals (MDGs) offers
examples of the wider array of urgent priorities that governments
face. These goals, worked out in the context of the United Nations
Millennium Declaration in September 2000, cover eight broad areas
of development that span eradicating extreme poverty and hunger,
reducing child mortality, combating HIV / AIDS, malaria and other dis-
eases. Within those broad areas the MDGs include 18 specific tar-
gets. For example, halving, between 1990 and 2015, the proportion
of people whose income is less than $1 a day, and halving, between
1990 and 2015, the proportion of people who suffer from hunger, are
among targets under the goal of eradicate extreme poverty and hun-
ger. (Since then, the official poverty level has been revise upwards to
$1.25 / day by the World Bank.) MDGs are unquestionably the urgent
issues human beings should cope with immediately and globally.
Achieving such goals along with an even broader array of human
aspirations is what many governments mean by ‘sustainable devel-
opment’ as echoed in many multilateral statements such as the dec-
laration from the Rio +20 conference in 2012 (United Nations, 2012).
All countries, in different ways, seek sustainable development. Each
puts its priorities in different places. The need to make tradeoffs and
find synergies among priorities may be especially acute in the least
developed countries where resources are particularly scarce and
vulnerabilities to climate change are systematically higher than in
the rest of the world (see Box 1.1). Those priorities also vary over
time — something evident as immediate goals such as job creation
and economic growth have risen in salience in the wake of the global
financial crisis of the late 2000s. Moreover, sustainable development
requires tradeoffs and choices because resources are finite. There
have been many efforts to frame priorities and determine which of
the many topics on global agendas are most worthy. Making such
choices, which is a highly political process, requires looking not only
at the present but also posterity (Summers, 2007). Applying standard
techniques for making tradeoffs — for example, cost-benefit analy-
sis (CBA) — is extremely difficult in such settings, though the impor-
tance of CBA itself is well recognized (Sachs, 2004) (See Section 3.6).
Important goals, such as equity, are difficult to evaluate alongside
other goals that can more readily be monetized. Moreover, with cli-
mate change there are additional difficulties such as accounting for
low probability but high impact catastrophic damages and estimat-
ing the monetary value of non-market damages (Nussbaum, 2000;
Weitzman, 2009).
1�4�2 Uncertainty and risk management
The policy challenge in global climate change is one of risk manage-
ment under uncertainty. The control of emissions will impose costs on
national economies, but the exact amount is uncertain. Those costs
could prove much higher if, for example, policy instruments are not
designed to allow for flexibility. Or they could be much lower if tech-
nological innovation leads to much improved energy systems. Mind-
ful of these uncertainties, there is a substantial literature on how
policy design can help contain compliance costs, allowing policymak-
ers to adopt emission controls with greater confidence in their cost
(Metcalf, 2009).
Perhaps even more uncertain than the costs of mitigation are the
potential consequences of climate change. As reviewed elsewhere
in the IPCC assessment, there is growing recognition of the impor-
tance of considering outcomes at high magnitudes of climate change,
138138
Introductory Chapter
1
Chapter 1
which could lead to strong feedbacks and very large impacts — for
example, higher sea levels and substantial impacts on natural eco-
systems (IPCC, 2014 (forthcoming); see also WGI, Chapters 11 – 14
and Annex I). Investments in adaptation, which vary in their fea-
sibility, can help reduce exposure to climate impacts and may also
lessen uncertainty in the assessment of possible and probable impacts
(World Bank, 2010).
Since risks arise on both fronts — on the damages of climate change
and on the costs of mitigation responses — scholars often call this a
‘risk-risk’ problem. In the case of climate change, management in this
context of risk and uncertainty must contend with another large chal-
lenge. Mitigation actions and effects of climate change involve a mul-
titude of actors working at many different levels, from individual firms
and NGOs to national policy to international coordination. The interest
of those different actors in undertaking climate change mitigation also
varies. Moreover, this multitude faces a large array of decisions and
can deploy many different instruments that interact in complex ways.
Chapter 2 explores the issues involved with this multitude of actors
and instruments. And Chapter 3 introduces a framework for analys-
ing the varied policy instruments that are deployed and assessing their
economic, ecological, ethical and other outcomes.
Box 1�1 | Least Developed Countries: mitigation challenges and opportunities
The Least Developed Countries (LDCs) consist of 49 countries
and over 850 million people, located primarily in Africa and
Asia — with 34 LDCs in Africa alone (UNFPA, 2011). These coun-
tries are characterised by low income (three-year average gross
national income per capita of less than USD 992), weak human
assets index (nutrition, health, school enrolment, and literacy),
and high economic vulnerability criterion (UNCTAD, 2012a).
Despite their continued marginalization in the global economy,
these countries’ economies grew at about 6 % per year from
2000 to 2008, largely stimulated by the strong pull-effect of the
Asian emerging economies (Cornia, 2011). However, the global
economic downturn and the worsening Eurozone crisis have had
an effect on most LDC economies. In 2011, LDCs grew by 4.2 %,
1.4 percentage lower than the preceding year, hence mirroring the
slowdown of growth worldwide (UNCTAD, 2012a). Many of the
traditional domestic handicaps remain as LDC economies continue
to be locked into highly volatile external transactions of commodi-
ties and low-productivity informal activities, having neither the
reserves nor the resources needed to cushion their economies and
adjust easily to negative shocks.
Regarding the social trends, LDCs as a group have registered
encouraging progress towards achieving some of the Millen-
nium Development Goals (MDGs), especially in primary school
enrolment, gender parity in primary school enrolment, HIV / AIDS
prevalence rates and the share of women in non-agricultural
wage employment (Sachs, 2012). However, poverty reduction
has been less successful; only four (of 33) LDCs are on track to
cut the incidence of extreme poverty to half 1990 levels by 2015
(UNCTAD, 2011). In line with this, the Istanbul Programme of
Action, adopted at the 4th UN Conference on the Least Developed
Countries (LDC-IV) highlighted the importance of building the
productive base of LDCs’ economies and promoting the process
of structural transformation involving an increase in the share of
high productivity manufacturing and an increase in agricultural
productivity (UNCTAD, 2012b).
The LDCs’ continued reliance on climate-sensitive activities such
as agriculture means that adapting to climate change remains
a central focus of economic development. If climate changes
become acute the additional burden of adaptation could draw
resources away from other activities, such as mitigation. Alter-
natively, more acute attention to adaptation could help mobilize
additional efforts for mitigation within these countries and other
countries that are the world’s largest emitters. The scientific
literature has not been able to determine exactly when and
how adaptation and mitigation are complementary or compet-
ing activities in LDCs; what is clear, however, is that meeting the
climate and development challenge entails integrating mitigation
and adaptation actions in the context of sustainable develop-
ment (Ayers and Huq, 2009; Martens etal., 2009; Moomaw and
Papa, 2012). In LDCs, like all other countries, investment in new
infrastructures offers the opportunity to avoid future GHG emis-
sions and lower mitigation costs (Bowen and Fankhauser, 2011).
Other emissions avoidance options are also available for LDCs in
areas of innovative urban development, improvements in material
productivity (Dittrich etal., 2012) and the application of enhanced
land use efficiency through intensified agricultural practices and
sustainable livestock management (Burney etal., 2010).
There could be significant additional costs associated with the
expansion of infrastructure in LDCs aimed at decoupling GHG
emissions and development. Paying these costs in countries with
extremely scarce resources could be a challenge (Krausmann
etal., 2009). Moreover, the additional costs could deter private
investors in low carbon interventions, leaving the public sector
with additional burdens, at least in the short-term (UN DESA,
2009; Collier and Venables, 2012). For most LDC governments,
creating the conditions for accelerated economic growth and
broad-based improvements in human well-being will remain the
main driver of national development policies and could lead to the
perception — if not the reality — that development and mitigation
are conflicting goals.
139139
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Scientific research on risk management has several implications for
managing the climate change problem. One is the need to invest in
research and assessment that can help reduce uncertainties. In relation
to climate change these uncertainties are pervasive and they involve
investments across many intellectual disciplines and activities, such as
engineering (related to controlling emissions) and the many fields of
climate science (related to understanding the risks of climate change).
In turn, these knowledge generating and assessment processes must
be linked to policy action in an iterative way so that policymakers can
act, learn, and adjust while implementing policy measures that are
‘robust’ across a variety of scenarios (McJeon etal., 2011). Another
major implication is the need to examine the possibilities of extreme
climate impacts. These so called ‘tail’ risks in climate impacts could
include relatively rapid changes in sea level, feedbacks from melting
permafrost that amplify the concentrations of greenhouse gases in the
atmosphere, or possibly a range of so far barely analyzed outcomes
(see generally Weitzman 2011). There are many options that could play
a role in these risk management strategies such as adaptation, rapid
deployment of low or negative emission technologies (e. g., nuclear,
advanced renewables, or bioenergy plants that store their emissions
underground) and geoengineering. Many of these options raise gover-
nance and risk management challenges of their own.
1�4�3 Encouraging international collective
action
Unlike many matters of national policy, a defining characteristic of the
climate change issue is that most of its sources are truly global. Nearly
all climate-altering gases have atmospheric lifetimes sufficiently long
that it does not matter where on the planet they are emitted. They
spread worldwide and affect the climate everywhere. Thus, national
governments develop their own individual policies with an eye to what
other nations are likely to do and how they might react (Victor, 2011).
Even the biggest emitters are mostly affected by emissions from other
countries rather than principally their own pollution. International col-
lective action is unavoidable.
As the level of ambition to manage the risks of climate change rises,
collective action can help governments achieve efficient and effective
outcomes in many ways. Those include not just coordination on poli-
cies to control emissions but also collective efforts to promote adap-
tation to climate change. International coordination is also needed to
share information about best practices in many areas. For example,
many of the promising options for reducing emissions involve changes
in behaviour; governments are learning which policies are most effec-
tive in promoting those changes and sharing that information more
widely can yield practical leverage on emissions (Aldy and Stavins,
2007; Dubash and Florini, 2011) (see also Chapter 13). Coordination
is also essential on matters of finance since many international goals
seek action by countries that are unwilling or unable to pay the cost
fully themselves (see Chapter 16) (WEF, 2011). Extremely short-lived
pollutants, such as soot, do not mix globally yet these, too, entrain
many issues of international cooperation. Often this pollution moves
across regional borders. And coordination across borders can also help
promote diffusion of best practices to limit these pollution sources.
International cooperation, including financial transfers, can also help dif-
fuse knowledge and capabilities to countries as they adapt to the effects
of climate change (UNFCCC, 2008, 2012c; World Bank, 2010). Indeed, in
response to these many logics for international cooperation on mitiga-
tion and adaptation extensive intergovernmental and other coordinat-
ing efforts are under way (see Section 1.2.1.4 and also Chapter 13).
One of the central challenges in international cooperation is that while
national governments play central roles — for example, negotiating,
and implementing treaties — effective cooperation must also engage
a large number of other actors, notably in the private sector. Moreover,
governments and other actors cooperate not only at the global level
through universal forums such as the United Nations but also in a wide
array of regional forums. One result of these multiple processes that
entrain public institutions as well as private actors is decentralized and
overlapping systems for government (see Chapter 13).
1�4�4 Promoting investment and technological
change
Radical delinking of GDP growth with emissions will probably require
massive changes in technology. Achieving those changes will require
closer attention to policies that affect technology innovation and
deployment. Technologies vary in many ways — they have different
maturity stages and potential for improvement through ‘learning’;
they have different mitigation potentials and require different policy
responses in developing and developed countries. Many studies have
looked in detail at how this diversity of technology policy approaches
might influence emissions and climate policy in the future (UN DESA,
2009, 2011; WBCSD, 2009; IEA, 2012d).
Nearly all low GHG technology options share one commonality — a
shift in the cost structure of supplying energy services from operat-
ing / fuel costs to upfront capital costs. Thus policy options are particu-
larly focused on how to create credible assurances for investors who
pay these capital costs. Policies that reduce demand for energy — nota-
bly those that mobilize investments in energy efficiency in both end use
and supply — can play pivotal roles by limiting the total cost needed to
transform energy supplies. The rate at which these changes in energy
systems can occur is an important area of research. The high fixed cost
of infrastructures also create ‘lock-in’ effects that help explain why it
is difficult to change real world emission patterns quickly (Davis etal.,
2010; IEA, 2012a).
International cooperation, finance, and technology transfer all have
important roles to play as a catalyst to accelerate technology prog-
ress at each stage in the lifecycle of a technology (see Chapter 13 on
international cooperation). Business plays a central role in this pro-
140140
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cess of innovation and diffusion of technologies. For example, massive
improvements in wind turbine technology have arisen through coopera-
tion between innovators and manufacturers in many different markets.
Similarly, business has played central roles in innovating and applying
energy efficiency technologies and practices that can help cut costs
and allow higher profits and additional employment opportunities.
(ILO, 2012, 2013). Numerous studies indicate that it will be difficult to
achieve widely discussed goals such as limiting warming to 2 degrees
at least without drastic efficiency improvements (but also life style
changes) (UNECE, 2010; Huntington and Smith, 2011; OECD, 2011; IEA,
2012d; Riahi etal., 2012). Innovations are needed not just in technol-
ogy but also lifestyles and business practices that often evolve in tan-
dem with technology. For example, after the Fukushima Daiichi accident
in March 2011, changes in Japanese life style and behaviour curbed
nationwide domestic household electricity demand by 5 % during the
winter 2011 / 12 compared with the previous year after accounting for
degree day differences (Ministry of Environment, Japan, 2012). Simi-
larly, electricity demand in the Tokyo area was around 10 % lower in the
summer 2011 than in 2010 and about 40 % of the reduction of demand
resulted from behavioural changes that allowed for greater conserva-
tion of electricity used for air-conditioning (Nishio and Ofuji, 2012).
As a practical matter, strategies for innovating and deploying new
technologies imply shifts in policy on many different fronts. In addition
to the role for businesses, the public sector has a large role to play in
affecting the underlying conditions that affect where and how firms
actually make long-lived and at times financially risky investments.
Those conditions include respect for contracts, a predictable and cred-
ible scheme for public policy, protection of intellectual property, and
relatively efficient mechanisms for creating contracts and resolving
disputes. These issues, explored in more detail in Chapter 16, are hardly
unique to climate change. In addition, there may be large roles for the
public sector in making public investments in basic technology that
the private sector, on its own, would not adequately provide — a topic
covered in more detail in Chapters 3.11 and 15.6.
1�4�5 Rising attention to adaptation
For a long time, nearly all climate policy has focused on mitigation.
Now, with some change in climate inevitable (and a lot more likely)
there has been a shift in emphasis to adaptation. While adaptation is
primarily the scope of WGII, there are important interactions between
mitigation and adaptation in the development of a mitigation strat-
egy. If it is expected that global mitigation efforts will be limited,
then adaptation will play a larger role in overall policy strategy. If it
is expected that countries (and natural ecosystems) will find adapta-
tion particularly difficult, then societies should become more heavily
invested in the efforts to mitigate emissions.
Mitigation and adaptation also have quite different implications for
collective action by nations. A strategy that relies heavily on mitigation
requires collective action because no nation, acting alone, can have
much impact on the global concentration of GHGs. Even the biggest
nations account for only about one-quarter of global emissions. By
contrast, most activities relevant for adaptation are local — while they
may rely, at times, on international funding and know-how they imply
local expenditures and local benefits. The need for (and difficulty of)
achieving international collective action is perhaps less daunting than
for mitigation (Victor, 2011).
Developing the right balance between mitigation and adaptation
requires many tradeoffs and difficult choices (See WG II Chapter 17 for
a more detailed discussion). In general, societies most at risk from cli-
mate change — and thus most in need of active adaptation — are those
that are least responsible for emissions. That insight arises, in part,
from the fact that as economies mature they yield much higher emis-
sions but they also shift to activities that are less sensitive to vagaries
of the climate. Other tradeoffs in striking the mitigation / adaptation
balance concern the allocation of resources among quite different
policy strategies. The world has spent more than 20 years of diplomatic
debate on questions of mitigation and has only more recently begun
extensive discussions and policy planning on the strategies needed for
adaptation. As a practical matter, the relevant policymakers also differ.
For mitigation many of the key actions hinge on international coordi-
nation and diplomacy. For adaptation the policymakers on the front
lines are, to a much greater degree, regional and local officials such
as managers of infrastructures that are vulnerable to extreme weather
and changes in sea level.
1.5 Roadmap for
WG III report
The rest of this report is organized into five major sections.
First, Chapters 2 – 4 introduce fundamental concepts and framing
issues. Chapter 2 focuses on risk and uncertainty. Almost every aspect
of climate change — from the projection of emissions to impacts on
climate and human responses — is marked by a degree of uncertainty
and requires a strategy for managing risks; since AR4, a large number
of studies has focused on how risk management might be managed
where policies have effects at many different levels and on a diverse
array of actors. Scholars have also been able to tap into a rich literature
on how humans perceive (and respond to) different types of risks and
opportunities. Chapter 3 introduces major social, economic, and ethi-
cal concepts. Responding to the dangers of unchecked climate change
requires tradeoffs and thus demands clear metrics for identifying and
weighing different priorities of individuals and societies. Chapter 3
examines the many different cost and benefit metrics that are used for
this purpose along with varied ethical frameworks that are essential to
any full assessment. Chapter 4 continues that analysis by focusing on
the concept of ‘sustainable development’. The varied definitions and
141141
Introductory Chapter
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practices surrounding this concept reflect the many distinct efforts by
societies and the international community to manage tradeoffs and
synergies involved with economic growth, protection of the environ-
ment, social equity, justice and other goals.
Second, Chapters 5 – 6 put the sources of emissions and the scale of
the mitigation challenge into perspective. Chapter 5 evaluates the fac-
tors that determine patterns of anthropogenic emissions of GHGs and
particulate pollutants that affect climate. Chapter 6 looks at the suite
of computer models that simulate how these underlying driving forces
may change over time. Those models make it possible to project future
emission levels and assess the certainty of those projections; they also
allow evaluation of whether and how changes in technology, econ-
omy, behaviour and other factors could lower emissions as needed to
meet policy goals.
Third, Chapters 7 – 11 look in detail at the five sectors of economic activity
that are responsible for nearly all emissions. These sectors include energy
supply systems (Chapter 7), such as the systems that extract primary
energy and convert it into useful forms such as electricity and refined
petroleum products. While energy systems are ultimately responsible for
the largest share of anthropogenic emissions of climate gases, most of
those emissions ultimately come from other sectors, such as transporta-
tion, that make final use of energy carriers. Chapter 8 looks at trans-
portation, including passenger and freight systems. Chapter 9 examines
buildings and Chapter 10 is devoted to industry. Together, Chapters 7 – 10
cover the energy system as a whole. Chapter 11 focuses on agriculture,
forestry, and other land use (AFOLU), the only sector examined in this
study for which the majority of emissions are not rooted in the energy
system. Chapter 11 includes an appendix that delves in more detail into
the special issues related to bioenergy systems (Section 11.13).
Looking across Chapters 7 – 11 one major common theme is the con-
sideration and quantification of ‘co-benefits’ and ‘adverse side-effects’
of mitigating climate change, i. e., effects that a policy or measure
aimed at one objective might have on other objectives. Measures lim-
iting emissions of GHGs or enhancing sinks often also yield other ben-
efits such as lowering the harmful health effects of local air pollution
or regional acidification when firms and individuals switch to less pol-
luting combustion technologies and fuels. But fuel switching from coal
to gas can have adverse side-effects on the jobs in the coal mining
industry. Although difficult to quantify, these co-benefits and adverse
side-effects often play a large role in evaluating the costs and benefits
of mitigation policies (see also Sections 3.6.3, 4.2, 4.8 and 6.6).
Often, this approach of looking sector-by-sector (and within each sector
at individual technologies, processes, and practices) is called ‘bottom
up’. That perspective, which is evident in Chapters 7 – 11 complements
the ‘top down’ perspective of Chapters 5 – 6 in which emissions are
analyzed by looking at the whole economy of a nation or the planet.
Fourth, Chapter 12 looks at spatial planning since many emissions
are rooted in how humans live, such as the density of population and
the infrastructure of cities. Matters of spatial planning are treated dis-
tinctly in this report because they are so fundamental to patterns of
emissions and the design and implementation of policy options.
Fifth, Chapters 13 – 16 look at the design and implementation of policy
options from a variety of perspectives. Chapter 13 concentrates on
the special issues that arise with international cooperation. Since no
nation accounts for more than about one-quarter of world emissions,
and economies are increasingly linked through trade and competition,
a large body of research has examined how national policies could be
coordinated through international agreements like the UN Framework
Convention on Climate Change and other mechanisms for coopera-
tion. Chapter 14 continues that analysis by focusing on regional coop-
eration and development patterns.
Chapter 15 looks at what has been learned within countries about the
design and implementation of policies. Nearly every chapter in this
study looks at an array of mitigation policies, including policies that
work through market forces as well as those that rely on other mecha-
nisms such as direct regulation. Chapter 15 looks across that experi-
ence at what has been learned.
Chapter 16, finally, looks at issues related to investment and finance.
The questions of who pays for mitigation and the mechanisms that can
mobilize needed investment capital are rising in prominence in inter-
national and national discussions about mitigation. Chapter 16 exam-
ines one of the most rapidly growing areas of scholarship and explores
the interaction between public institutions such as governments and
private firms and individuals that will ultimately make most decisions
that affect climate change mitigation. Among its themes is the central
role that financial risk management plays in determining the level and
allocation of investment financing.
1.6 Frequently Asked
Questions
FAQ 1.1 What is climate change mitigation?
The Framework Convention on Climate Change (UNFCCC), in its
Article 1, defines climate change as: “a change of climate which is
attributed directly or indirectly to human activity that alters the com-
position of the global atmosphere and which is in addition to natu-
ral climate variability observed over comparable time periods”. The
UNFCCC thereby makes a distinction between climate change attrib-
utable to human activities altering the atmospheric composition, and
climate variability attributable to natural causes. The IPCC, in contrast,
defines climate change as “a change in the state of the climate that
can be identified (e. g., by using statistical tests) by changes in the
mean and / or the variability of its properties, and that persists for an
142142
Introductory Chapter
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extended period, typically decades or longer”, making no such dis-
tinction.
Climate Change Mitigation is a “human intervention to reduce the
sources or enhance the sinks of greenhouse gases” (GHG) (See Glos-
sary (AnnexI)). The ultimate goal of mitigation (per Article 2 of the
UNFCCC) is preventing dangerous anthropogenic interference with
the climate system within a time frame to allow ecosystems to adapt,
to ensure food production is not threatened and to enable economic
development to proceed in a sustainable manner.
FAQ 1.2 What causes GHG emissions?
Anthropogenic GHGs come from many sources of carbon dioxide
(CO
2
), methane (CH
4
), nitrous oxide (N
2
O), and fluorinated gases (HFCs,
PFCs and SF
6
). CO
2
makes the largest contribution to global GHG emis-
sions; fluorinated gases (F-gases) contribute only a few per cent. The
largest source of CO
2
is combustion of fossil fuels in energy conver-
sion systems like boilers in electric power plants, engines in aircraft
and automobiles, and in cooking and heating within homes and busi-
nesses. While most GHGs come from fossil fuel combustion, about one
third comes from other activities like agriculture (mainly CH
4
and N
2
O),
deforestation (mainly CO
2
), fossil fuel production (mainly CH
4
) indus-
trial processes (mainly CO
2
, N
2
O and F-gases) and municipal waste and
wastewater (mainly CH
4
). (See 1.3.1)
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