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Enhancing cooperation and coordination among the Basel, Rotterdam and Stockholm conventions

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Table of Contents

  1. Preamble
  2. Paragraph 1.
  11. Annex II to decision BC-10/29
  12. Annex III to decision BC-10/29

Enhancing cooperation and coordination among the Basel, Rotterdam and Stockholm conventions

The Conference of the Parties,Mindful of the legal autonomy of each of the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal, the Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade and the Stockholm Convention on Persistent Organic Pollutants,Recognizing the broad scope of the three conventions,Welcoming the continued commitment of all parties to ensuring the implementation of the full breadth of the three conventions,Recalling decision IX/10 of the Conference of the Parties to the Basel Convention, decision RC‑4/11 of the Conference of the Parties to the Rotterdam Convention and decision SC-4/34 of the Conference of the Parties to the Stockholm Convention, hereinafter referred to as the “synergies decisions”,Recalling also decision BC.Ex-1/1 of the Conference of the Parties to the Basel Convention, decision RC.Ex-1/1 of the Conference of the Parties to the Rotterdam Convention and decision SC.Ex‑1/1 of the Conference of the Parties to the Stockholm Convention, hereinafter referred to as the “omnibus decisions”,Reaffirming that actions taken to enhance coordination and cooperation should be aimed at strengthening the implementation of the three conventions at the national, regional and global levels, promoting coherent policy guidance and enhancing efficiency in the provision of support to parties, with a view to reducing their administrative burden and maximizing the effective and efficient use of resources at all levels,Mindful of the various principles recognized within the three conventions, including pertinent provisions of the Rio Declaration on Environment and Development such as principle 7,11Report of the United Nations Conference on Environment and Development, Rio de Janeiro, 3–14 June 1992 (United Nations publication, Sales No. E.93.I.8 and corrigenda), vol. I: Resolutions adopted by the Conference, resolution 1, annex I.Bearing in mind the potential further to enhance coordination and cooperation with other existing and newly developed instruments and frameworks in the chemicals and wastes management cluster such as the Strategic Approach to International Chemicals Management and the global legally binding instrument on mercury currently under negotiation,Taking note of decision 26/7 on the consultative process on financing options for chemicals and wastes and decision 26/12 on enhancing cooperation and coordination within the chemicals and wastes cluster adopted by the Governing Council of the United Nations Environment Programme at its twenty‑sixth session,Welcoming decisions SC-5/27 of the Conference of the Parties to the Stockholm Convention and RC-5/12 of the Conference of the Parties to the Rotterdam Convention on enhancing cooperation and coordination among the Basel, Rotterdam and Stockholm conventions;
1.Adopts the present decision;

I Joint activities

2.Takes note of the information provided in the note by the Secretariat on joint activities2 and its related information documents;32UNEP/CHW.10/27/Add.1.3UNEP/CHW.10/INF/38-43.
3.Also takes note of the progress made in enhancing cooperation and coordination among the Basel, Rotterdam and Stockholm conventions;
4.Approves the proposed cross-cutting and joint activities for inclusion in the programmes of work of the secretariats of the Basel, Rotterdam and Stockholm conventions for 2012‑2013 set out in annex I to the present decision;
5.Requests the secretariat to pursue further cooperation and coordination in respect of activities that are not listed in annex I but are included in the approved programme of work and budget for 2012–2013 and can be undertaken in a cost‑neutral manner;
6.Acknowledges that joint activities should be aimed at strengthening the implementation of the Basel, Rotterdam and Stockholm conventions in a manner that results in no additional overall burden for parties, particularly developing-country parties and parties with economies in transition;
7.Takes note of the progress made by the secretariats of the Basel, Rotterdam and Stockholm conventions in the integration of their clearing-house mechanism functions and tools into a joint clearing-house mechanism to serve the three conventions;
8.Invites the Meeting of the Parties to the Montreal Protocol on Substances that Deplete the Ozone Layer, considering its decision XX/7, to participate in and support partnership activities with the Basel, Rotterdam and Stockholm conventions and other multilateral environment agreements as outlined in the joint activities set out in annex I to the present decision;
9.Invites parties and others from the donor community in a position to do so to continue to support joint activities of the three conventions through voluntary contributions;
10.Approves the revised workplan of the clearing-house mechanism for the three conventions set out in annex III to the present decision;
11.Acknowledges that joint activities under the Basel, Rotterdam and Stockholm conventions should not result in the diversion of resources from activities otherwise necessary to implement the three conventions;

II Joint managerial functions

12.Welcomes the establishment of the position of Executive Secretary of the Basel Convention, the Stockholm Convention and the United Nations Environment Programme part of the Rotterdam Convention and the successful completion of the recruitment process for that position;
13.Expresses regret that the Executive Secretary was not appointed with the urgency requested in paragraph 4 of section II of the omnibus decisions, which makes it difficult to complete the reorganization of the secretariats of the three conventions by 2011, as foreseen in paragraph 5 of section III of the omnibus decisions;
14.Authorizes the Executive Secretary to determine the staffing levels, numbers and structure of the secretariat in a flexible manner, provided that he remain within the ceiling established by decision BC-10/27 on financing and budget for the biennium 2012–2013;
15.Requests the Executive Secretary, by 31 December 2011 and in consultation with the parties to the Basel, Rotterdam and Stockholm conventions through the bureaux, to prepare a proposal for the organization of the secretariats of the three conventions, including staffing levels, numbers and structure, to be implemented by 31 December 2012;
16.Reiterates its request that the Executive Director of the United Nations Environment Programme, in consultation with the Director-General of the Food and Agriculture Organization and the Executive Secretary and taking into account the reports on the review4 referred to in section VI of the present decision, develop, for consideration by the conferences of the parties to the three conventions in 2013, a full proposal for the organization of the secretariats of the Basel Convention, the Stockholm Convention and the United Nations Environment Programme part of the Rotterdam Convention, including the possible continuation of the Executive Secretary, that is cost-neutral in respect of the adopted operating budgets of the three conventions;4The review reports to be prepared by the secretariats of the three conventions and by the evaluation units of the United Nations Environment Programme and the Food and Agriculture Organization of the United Nations.
17.Decides that the meetings of the conferences of the parties to the Basel, Rotterdam and Stockholm conventions should be held in a coordinated manner and requests the Executive Secretary to schedule them in a way that facilitates their coordination;
18.Also decides, subject to the submission of the reports on the review referred to in section VI of the present decision and taking into account comments made by parties on the matter, to convene, back-to-back with and at the same venue as the last ordinary meeting of the conferences of the parties to the Basel, Rotterdam and Stockholm conventions to take place in 2013, simultaneous extraordinary meetings of the three conferences of the parties, the agendas for which shall include matters related to cooperation and coordination between the conventions, with the main focus on:
(a)Draft decisions on the review of arrangements adopted pursuant to the synergies decisions;
(b)The proposal for the organization of the secretariats referred to in paragraph 15 of the present decision;
(c)Draft proposals for joint activities for 2014–2015;
(d)Budget for joint activities and possible necessary amendments to the budget of the three conventions for the biennium 2014–2015;
(e)Outcome of the United Nations Environment Programme Executive Director’s consultative process on financing options for chemicals and wastes;
19.Requests the Executive Secretary, in consultation with the parties through the bureaux, to prepare a proposal on the timing and organization of the meetings of the conferences of the parties to the Basel, Rotterdam, and Stockholm conventions for consideration by the three conferences of the parties in 2013, taking into account the results of the review referred to in section VI of the present decision;

III Joint services

20.Welcomes the progress made by the Executive Director of the United Nations Environment Programme, in consultation with the Director-General of the Food and Agriculture Organization of the United Nations and through the executive secretaries of the three conventions, in the establishment, implementation and consolidation of the joint services of the three conventions;
21.Approves the proposal of the Executive Secretary for the interim organization of the secretariat consisting of the Joint Convention Services unit and three technical units to support the operations of the Basel Convention, the Stockholm Convention and the United Nations Environment Programme part of the Rotterdam Convention;55UNEP/CHW.10/27/Add.2.
22.Welcomes the proposals of the Executive Secretary for the interim organization of the three secretariats, providing for a secretariat consisting of the Joint Convention Services unit and three technical units and for the modification, as depicted in the chart in annex II to the present decision, of the organization of the joint services of the Basel, Rotterdam and Stockholm conventions;
23.Recalls its invitation to parties and the donor community to consider providing funding, through voluntary contributions, of 80,000 United States dollars to defray the cost of integrating the information technology platforms and services of the three secretariats;
24.Requests the Executive Director of the United Nations Environment Programme, in consultation with the Director-General of the Food and Agriculture Organization of the United Nations and through the Executive Secretary, to continue efforts to implement joint services for the Basel, Rotterdam and Stockholm conventions;

IV Synchronization of budget cycles

25.Welcomes the information on the synchronization of the budget cycles of the three conventions in the note by the Secretariat on that subject;66UNEP/CHW.10/27/Add.4.

V Joint audits

26.Takes note of the information in the note by the Secretariat on the audit by the Office of Internal Oversight Services in 2011 of the strategic management of those multilateral environmental agreements for which the United Nations Environment Programme provides secretariat services, including the Basel, Rotterdam and Stockholm conventions;77UNEP/CHW.10/27/Add.5.
27.Requests the Executive Director of the United Nations Environment Programme to report to the conferences of the parties to the Basel, Rotterdam and Stockholm conventions at their meetings in 2013 on the outcome of the audit insofar as it relates to the Basel, Rotterdam and Stockholm conventions;

VI Review arrangements

28.Adopts the terms of reference set out in annexes IV and V to the present decision for the reports pertaining to the review of the arrangements adopted pursuant to the synergies decisions called for in section VI of the omnibus decisions, on review arrangements;
29.Requests the secretariats, and invites the Executive Director of the United Nations Environment Programme, in consultation with the Director-General of the Food and Agriculture Organization of the United Nations, to continue to implement section VI of the omnibus decisions, using the terms of reference referred to in the preceding paragraph;

VII Final provisions

30.Requests the Executive Director of the United Nations Environment Programme, in consultation with the Director-General of the Food and Agriculture Organization of the United Nations, through the Executive Secretary, to report to the conferences of the parties to the Basel, Rotterdam and Stockholm conventions at their meetings in 2013 on the implementation of the present decision.

Annex I to decision BC-10/29

Proposed cross-cutting and joint activities for inclusion in the programmes of work of the Basel, Rotterdam and Stockholm conventions for 2012–2013

I. Technical assistance

Title of activityS1. Develop tools to support countries in implementing the conventions
MandateOmnibus decisions (BC.Ex-1/1, RC.Ex-1/1, SC.Ex-1/1).
ObjectiveTools are developed and exchange of experience and good practices promoted to enhance knowledge and capacity of parties to implement the conventions.
Indicators of achievement1. Updated toolkit and electronic tools available under the three conventions;
2. Number of users of the electronic tools;
3. Number of parties trained in the environmentally sound management of persistent organic pollutants and new persistent organic pollutant wastes;
4. Number of good practices and experiences shared on environmentally sound management of persistent organic pollutant wastes;
5. Number of follow-up activities and projects undertaken to support environmentally sound management of persistent organic pollutant wastes.
Short description of the activity1. Develop and upgrade toolkits and electronic training tools, including tools for persistent organic pollutant wastes, pesticides and industrial chemicals;
2. Make tools available online.
Expected outputs1. Tools developed, upgraded as appropriate and made available;
2. Parties enabled to review and update their strategies for identifying stockpiles, products and articles in use that contain or are contaminated with the newly listed persistent organic pollutants;
3. Regional workshops organized to share experiences between parties.
Method of implementation (internal or external)Internal:- Development of updated training materials, including electronic training tools, in a coordinated manner between the three secretariats.
External:- Involvement of the regional centres of the Basel and Stockholm conventions and of other regional partners, such as the Food and Agriculture Organization of the United Nations (FAO) and the United Nations Environment Programme (UNEP) regional offices, in the conduct of workshops;- Inviting of relevant existing national, subregional and regional institutions, such as non-governmental organizations and the private sector, in addition to intergovernmental organizations working in the field of sound chemicals management such as the Global Environment Facility (GEF), FAO, the United Nations Industrial Development Organization, the United Nations Development Programme, the World Bank and the United Nations Institute for Training and Research (UNITAR).
Partner(s)Regional centres of the Basel and Stockholm conventions, Governments hosting regional centres, FAO and UNEP regional offices, experts.
Title of activityS2. Capacity-building programmes at the regional level
MandateSynergies decisions (BC-IX/10, RC-4/11, SC-4/34).
ObjectiveEnhanced capacity of parties to implement the conventions at the national level.
Indicators of achievement1. Number of parties that have participated in training activities;
2. Number of project proposals developed that are consistent with the workplans of the three conventions;
3. Number of parties that are able to identify potential donors or partners and negotiate funding for projects related to the three conventions;
4. Number of regional experts that play a key role in the delivery of technical assistance and capacity development;
5. Number of technical assistance requests answered in a timely manner.
Short description of the activity1. Develop and implement training activities, based on previous experience and on needs identified at the national and regional levels and using the resource mobilization tools developed previously, to assist parties in developing coherent project proposals and inform them about resource mobilization techniques and funds available for the implementation of the three conventions;
2. Establish a network of regional experts (national contact points, regional experts, regional officers, regional centres, etc.) who are knowledgeable about, and assist and participate in when relevant, the delivery of technical assistance and capacity‑building;
3. Provide training on the use of technical and policy guidance;
4. Enhance countries’ capacity to prepare, draft and update national legal frameworks (such as legislative and administrative measures to give effect to the obligations and procedures under the conventions), support countries in the enforcement of national legal frameworks, including national legislation and guidelines, and identify and develop additional legal and other relevant tools;
5. Follow up with individual parties requiring tailored assistance, for example providing advice.
Expected outputs1. Focal points, designated national authorities and regional centres are trained in the various issues relating to the implementation of the conventions;
2. Terms of reference for regional experts are developed; regional experts fully understand the strategy, methodology, programme and activities of the secretariats regarding delivery of technical assistance and support the programme;
3. Awareness of the legal requirements under the three conventions and of the status of each party’s legal framework related to the chemicals and wastes multilateral environmental agreements is increased;
4. Parties are provided with tools, including legal guidelines and model legislation, to implement the conventions;
5. Better understanding of the obstacles faced by parties in implementing their obligations under the conventions is gained;
6. Tailored assistance is provided to individual parties upon request.
Method of implementation (internal or external)Internal:- Development of tools and organization of training sessions.
External:- Involvement of the regional centres of the Basel and Stockholm conventions and other regional partners, such as FAO and UNEP regional offices, in the execution of workshops.
Partner(s)UNITAR, Strategic Approach to International Chemicals Management, UNEP.
Title of activityS3. Support for sound chemicals and wastes management at the national level
MandateSynergies decisions (BC-IX/10, RC-4/11, SC-4/34);
Omnibus decisions (BC.Ex-1/1, RC.Ex-1/1, SC.Ex-1/1).
ObjectiveNational institutional frameworks for the coordinated implementation of the three conventions, such as national action plans and strategies, are developed.
Indicators of achievement1. Number of countries that have developed updated comprehensive chemicals and wastes management strategies;
2. Number of countries that have developed policy‑enabling environments supporting sound chemicals and wastes management;
3. Number of countries in which priority follow-up activities identified in the chemicals and wastes management strategies have been implemented;
4. Number of parties benefiting from programmes facilitated or implemented through regional centres.
Short description of the activityProjects on the coordinated implementation of the Basel, Rotterdam and Stockholm conventions will be implemented at the national level. Activities will include close cooperation between the focal points of the three conventions and other major stakeholders to identify challenges to and gaps in the implementation of the conventions; to develop proposals for necessary technical and functional elements including priority activities; and to develop legal and administrative bases and supportive policy environments that allow the implementation of coordinated chemicals management programmes that take into consideration obligations under multilateral environmental agreements and make full use of the benefits of such agreements. National institutions will create, adopt, implement and sustain life‑cycle-based chemicals management initiatives such as chemicals and wastes management strategies. The activity will also provide for assistance to national chemicals and wastes management committees in developing countries. Workshops will be organized to develop national action plans, strategies and institutional frameworks on chemicals and wastes management. Training will be provided to focal points and enforcement authorities of the three conventions.
Expected outputs1. Development of national chemicals and wastes management programmes, such as systems for the control of exports and imports of hazardous chemicals and wastes;
2. Draft legislation and administrative regulations or plans for putting them in place are developed;
3. Priority activities aimed at implementing the conventions are identified;
4. Partnerships and coordination at the national level among key stakeholders in chemicals and wastes management, including designated national authorities, national focal points and official contact points, are developed;
5. Capacity to manage chemicals and wastes by participating parties is improved;
6. Capacity to implement the conventions is strengthened
Method of implementation (internal or external)The three secretariats will collaborate closely and jointly coordinate and facilitate the development of national programmes to be implemented as appropriate through the Basel and Stockholm regional centres, countries and relevant partners.
Partner(s)FAO, UNEP, the Strategic Approach, UNITAR, the World Health Organization, the World Customs Organization, Basel and Stockholm Convention regional centres, FAO and UNEP regional offices.
Title of activityS4. Develop partnerships with other multilateral environmental agreements
MandateSynergies decisions (BC-IX/10, SC-4/34); decision XX/7 of the Twentieth Meeting of the Parties to the Montreal Protocol.
ObjectiveStrategic partnerships with other multilateral environmental agreements, such as for the management and disposal of ozone-depleting substances, persistent organic pollutants and other hazardous substances, are developed.
Indicators of achievement1. Plan on strategic partnerships with other multilateral environmental agreements developed;
2. Number of strategic partnerships established;
3. Number of implementation plans for joint management and disposal operations for ozone-depleting substances, persistent organic pollutant wastes and other hazardous chemicals developed per region;
4. Tons of ozone-depleting substances, persistent organic pollutant wastes and other hazardous chemicals destroyed through joint management and disposal operations.
Short description of the activity1. Develop and implement a plan to identify strategic partnerships with other multilateral environmental agreements;
2. Implement the already identified partnership related to ozone‑depleting substances and carry out an institutional, technical and cost-analysis study to ensure that the collection, transportation and destruction of ozone‑depleting substances, persistent organic pollutant wastes and other hazardous substances can take place economically and in a sound manner in four regions. Pilot disposal operations will be carried out in pilot countries through a national and/or regional approach as feasible. In addition, efforts will be made to identify common goals between the conventions and the Montreal Protocol.
Expected outputs1. Plan on strategic partnerships with other multilateral environmental agreements is developed;
2. Strategic partnerships are identified and implemented;
3. Legal and procedural issues raised by co-disposal of ozone‑depleting substances and persistent organic pollutants are clarified at the national level;
4. Capacity for dealing with the destruction of ozone-depleting substances and persistent organic pollutants is developed;
5. Disposal operations are carried out for ozone-depleting substances, persistent organic pollutant wastes and other hazardous chemicals through a joint management and disposal approach.
Method of implementation (internal or external)A pilot project on ozone-depleting substance and persistent organic pollutant destruction will be implemented by the Basel and Stockholm convention regional centres in their regions with the support of the secretariats of the Basel and Stockholm conventions, UNEP and donor and participating countries.
Partner(s)Regional centres of the Basel and Stockholm conventions, Governments hosting regional centres and pilot operations, UNEP.
Title of activityS5. Working with regional liaison offices in Latin America and the Caribbean, Africa, Asia and Europe in collaboration with key partners
MandateOmnibus decisions (BC.Ex-1/1, RC.Ex-1/1, SC.Ex-1/1).
ObjectiveCoordinated delivery of technical assistance and capacity-building programmes and activities at the regional level to support the implementation of the Basel, Rotterdam and Stockholm conventions.
Indicators of achievement1. Number of times UNEP liaison offices and multilateral environmental agreement officers are involved in capacity-building and technical assistance activities related to the implementation of the three conventions;
2. Number of activities related to the implementation of the three conventions undertaken by UNEP liaison offices and multilateral environmental agreement officers;
3. Number of parties in the regions that receive support from UNEP liaison offices and multilateral environmental agreement officers;
4. Increased coordination between secretariats and UNEP liaison offices and multilateral environmental agreement officers.
Short description of the activityUNEP chemicals and wastes multilateral environmental agreement focal points will, among other things:1. Provide technical advice and guidance to countries to facilitate national and regional implementation of the chemicals and wastes multilateral environmental agreements;
2. Assist countries in identifying their needs and gaps relating to implementation of the chemicals and wastes multilateral environmental agreements and in finding solutions and needed support;
3. Assist countries in preparing, updating and submitting national implementation plans and in fulfilling national reporting requirements;
4. Collaborate with the chemicals and wastes multilateral environmental agreement secretariats in organizing and delivering technical assistance (regional meetings, workshops and training);
5. Increase the profile of the chemicals and wastes multilateral environmental agreements through awareness-raising in cooperation with the secretariats;
6. Promote interlinkages at the national level between the chemicals and wastes multilateral environmental agreements to enhance implementation activities and to promote synergies between the conventions;
7. Coordinate with the Basel and Stockholm convention regional and coordinating centres and contribute to capacity-building activities;
8. Act as a knowledge repository for chemicals and wastes issues in the region;
9. Facilitate information exchange in coordination with the secretariats, Basel and Stockholm convention regional centres and FAO regional and subregional offices and assist countries in updating the secretariats on changes of designated national authorities, national focal points and official contact points;
10. Provide the secretariats with regular feedback on important issues in the regions.
Expected outputsStrengthened coordination of technical assistance and capacity-building programmes and activities at the regional and national levels.
Method of implementation (internal or external)UNEP programme officers and chemicals and wastes multilateral environmental agreement focal points based at the UNEP regional offices.Funded via UNEP; staff costs only.
Potential partner(s)UNEP regional offices, UNEP Division of Environmental Law and Conventions, Chemicals Branch of the UNEP Division of Technology, Industry and Economics (UNEP Chemicals), FAO regional and subregional offices.

II. Scientific and technical activities

Title of activityS6. Support the work of and coordination between the scientific bodies of the conventions and identify common issues and linkages between the conventions
MandateSynergies decisions (BC-IX/10, RC-4/11, SC-4/34);Omnibus decisions (BC.Ex-1/1, RC.Ex-1/1, SC.Ex-1/1).
Objective1. Technical and policy support are provided to the scientific bodies of the three conventions in a coordinated manner;
2. Information exchange and cooperation on cross-cutting scientific, technical and policy issues are established;
3. Opportunities for the technical and scientific bodies to network, communicate and exchange skills are provided;
4. Reflection on the role and performance of the scientific bodies is facilitated.
Indicators of achievement1. Number of studies carried out on the linkages between the conventions and other relevant issues;
2. Cooperation on common issues by the scientific bodies of the conventions;
3. Roster of experts and website listing meeting and workshop alumni is established.
Short description of the activity1. Work with relevant scientific experts to tackle common issues that hamper the effective work of the scientific bodies;
2. Study and review linkages between conventions and identify cross‑cutting technical issues on which cooperation needs to be developed or enhanced, e.g., climate change and persistent organic pollutants; handling of electronic wastes containing brominated flame retardants and mercury; life‑cycle management of hazardous chemicals; sound trade of hazardous chemicals and pesticides; identification of hazardous chemical, waste and environmental occurrence hot spots; connection with biodiversity, land degradation, etc.;
3. Work with the clearing-house mechanism to establish a roster of experts relevant to the technical and scientific bodies of the three conventions; to develop an alumni website for meeting, training and awareness-raising workshop participants; and to develop joint scientific and technical documents or guidance as required.
Expected outputs1. The technical and scientific bodies of the three conventions receive technical and policy support, facilitating the exchange and sharing of relevant information between themselves and with other relevant intergovernmental processes, including the Strategic Approach;
2. Report on linkages and potential cooperation between the scientific bodies of the conventions;
3. Roster of experts and alumni websites is established.
Method of implementation (internal or external)Internal: staff travel, consultant, subcontracts, travel of participants and translation and printing.
Partner(s)Interested intergovernmental organizations, non-governmental organizations and industry bodies.
Title of activityS7. Support parties’ implementation of the life-cycle approach to chemicals management: update the general technical guidelines on the environmentally sound management of persistent organic pollutant wastes to include the new persistent organic pollutants
MandateSynergies decisions (BC-IX/10, SC-4/34), Section II C, paragraphs 4 and 5; Omnibus decisions (BC.Ex-1/1, SC.Ex-1/1).
ObjectiveParties to the Basel and Stockholm conventions receive technical and scientific information and guidance when required to allow them to deal with wastes from the nine new persistent organic pollutants.
Indicators of achievement1. Technical guidelines on the environmentally sound management of persistent organic pollutant wastes are updated to include the new persistent organic pollutants;
2. Number of parties implementing environmentally sound management of persistent organic pollutant wastes;
3. Number of requests for technical assistance and advice on life-cycle approach to chemicals management answered in a timely manner.
Short description of the activity1. Update the general technical guidelines on the environmentally sound management of persistent organic pollutant wastes to include the new persistent organic pollutants;
2. Provide technical and scientific information and guidance to the parties to the two conventions to allow them to deal with the new persistent organic pollutant wastes;
3. Provide policy guidance and technical information to parties to the two conventions to assist them to manage chemicals and wastes following a life‑cycle approach.
Expected outputs1. The general technical guidelines on the environmentally sound management of persistent organic pollutant wastes are updated to include the new persistent organic pollutants;
2. Parties to the Basel and Stockholm conventions receive technical and scientific information and guidance when required to allow them to deal with the wastes from the new persistent organic pollutants;
3. Parties to the two conventions receive policy guidance and technical information when required to assist them to manage chemicals following the life-cycle approach.
Method of implementation (internal or external)Internal: consultant, subcontracts, travel of participants and translation and printing.
Partner(s)Industry bodies, non-governmental organizations and other interested intergovernmental organizations.

III. Regional centres

Title of activityS8. Cooperation and coordination between regional centres and FAO and UNEP regional offices: annual joint meetings
MandateSynergies decision (BC-IX/10, RC-4/11, SC-4/34), sections I A, I B and I C;Omnibus decisions (BC.Ex-1/1, RC.Ex-1/1, SC.Ex-1/1), section I, paragraph 5.
Objective1. Enhanced coordination on regional strategies and identification of opportunities for the development of joint activities;
2. Enhanced coordination and collaboration between the regional centres, regional offices and other entities engaged in technical assistance at the regional level.
Indicators of achievement1. Annual coordination meeting held;
2. Coordinated regional implementation plans for Basel and Stockholm Convention regional centres and FAO and UNEP regional offices.
Short description of the activityAnnual meetings of the Basel and Stockholm convention regional centres and FAO and UNEP regional offices will be convened and coordinated by the secretariats of the conventions. Regional officers of FAO, UNEP and the Basel and Stockholm convention regional centres will meet to present and review their activities and exchange information on workplans and business plans with a view to enhancing coordination of regional activities and strategies and identifying opportunities for the development of joint activities. The meetings will operate through a series of plenary sessions, sessions for regional groups and convention‑specific sessions. It is expected that convention-specific regional activities will be coordinated and scheduled in such a way that efficiency is increased. Coordination of activities will increase the effectiveness of work undertaken.
Expected outputs1. Experience is exchanged and coordination improved between the Basel and Stockholm convention regional centres and UNEP and FAO regional offices in implementing the elements of technical assistance activities of the three conventions;
2. Improved overview of financial requirements and regional resources in support of the delivery of the technical assistance programme through the preparation of a joint, coordinated plan and discussions between the secretariats and regional officers and representatives of regional centres will result in the identification and development of a number of proposals for pilot projects, joint activities and resource mobilization strategies;
3. Finalized pilot projects on the coordinated use of regional centres;
4. Joint activities are part of the workplans and business plans of the regional centres.
Method of implementation (internal or external)Internal:- The activity will be implemented by representatives of the secretariats of the three conventions with regional officers of FAO and UNEP and the Basel and Stockholm convention regional centres;
External:- A network of centres and regional partners is established.
Partner(s)Basel Convention regional centres for training and technology transfer, Stockholm Convention regional and subregional centres for capacity‑building and the transfer of technology, UNEP multilateral environmental agreement focal points for chemicals and wastes , FAO regional offices and FAO subregional offices.
Title of activityS9. South-South cooperation
MandateSynergies decisions (BC-IX/10, RC-4/11, SC-4/34), section I C, paragraph 18;Omnibus decisions (BC.Ex-1/1, RC.Ex-1/1, SC.Ex-1/1), section I, paragraph 5.
ObjectiveEnhanced South-South cooperation on pilot activities, exchange of experience, successes and strategic alliances between regional centres and parties for the joint implementation of the conventions.
Indicators of achievement1. Number of bilateral and multilateral cooperation agreements signed to facilitate the exchange of experiences on the environmentally sound management of hazardous chemicals and wastes;
2. Number of joint activities implemented by the regional centres.
Short description of the activityRegional centres tackle specific priority issues in their region related to the Basel, Rotterdam and Stockholm conventions, e.g., transport, import and export, or collection and disposal issues, and liaise with regional centres in other regions to identify and cooperate on issues of common interest such as technical, institutional and management approaches. The project will facilitate exchange of technical staff between the centres in a twinning project approach and other approaches using the experience of the Bali Strategic Plan for Technology Support and Capacity-building.
Expected outputs1. Joint activities developed and implemented by the regional centres on a bilateral or multilateral basis;
2. Practical tools for the implementation of joint activities, best practices and lessons learned are provided and disseminated via the centres’ and secretariats’ websites;
3. Exchange of regional centres’ staff in twinning arrangements between regional centres and convention secretariats as appropriate.
Method of implementation (internal or external)Cooperation between the regional centres will begin online with regular information exchanges, video conferences and sharing of technical experience and expertise.
Partner(s)Basel and Stockholm Convention regional centres, FAO and UNEP regional offices, secretariats of the Basel, Rotterdam and Stockholm conventions.

IV. Clearing-house mechanism

Title of activityS10. Clearing-house mechanism for information exchange
MandateSynergies decisions (BC-IX/10, RC-4/11, SC-4/34), section I A, paragraphs 2 and 3, section III B, paragraph 4;Omnibus decisions (BC.Ex-1/1, RC.Ex-1/1, SC.Ex-1/1), section III.
Objective1. To provide one entry point to a wide range of sources of available information relevant to chemicals and wastes management;
2. To facilitate the sharing of information on the implementation of the Basel, Rotterdam and Stockholm conventions, including on models of coordination mechanisms and examples of good coordination practices from countries;
3. To facilitate the transfer of expertise and know-how between stakeholders;
4. To develop a unique development strategy for the clearing-house mechanism across the three conventions, making better use of available resources;
5. To keep parties and other stakeholders well informed regarding convention issues, meetings, programmes, etc., in a more integrated and user-friendly environment;
6. To consolidate the use of available resources.
Indicators of achievement1. Relevance and pertinence of information packages for users;
2. Number of parties that will contribute and gain access to the information;
3. Availability of new tools such as social networking mechanisms to facilitate information exchange;
4. Satisfaction of parties and other stakeholders with the service provided and increased number of website hits;
5. Number of articles, best practices, project information exchanged between stakeholders;
6. Greater access to information and expertise available to all stakeholders;
7. Joint strategy for the development of the clearing-house mechanism;
8. Integration of the websites of the three conventions.
Short description of the activity1. Development of cross-cutting information packages;
2. Development of a joint clearing-house mechanism;
3. Maintenance and continuation of the development of the conventions’ websites.
Expected outputs1. Improved access to all information relevant to parties’ obligations under the three conventions and identification of new opportunities for information sharing and aggregation.Examples of cross-cutting information packages:- Public awareness materials (United Nations Body Burden Forum, Safe Planet campaign, etc.);- Joint legal information;- Search tool for decisions by the conferences of the parties by thematic area;- Joint calendar of meetings;- Map of regional centres and offices for all three conventions;- Map of ratification status for all three conventions;- Chemicals and wastes profiles;- Focal points for all three conventions;- Country profiles, showing the status of implementation for all three conventions and information on best practices, successful projects, etc.;- Any other information package as required;
2. Integrated and user-friendly collaboration environment available for parties and other users;
3. More integrated systems across the three conventions that facilitate the implementation of the conventions by parties;
4. Constantly improving websites that meet the parties’ requirements and provide useful information to other audiences.
Method of implementation (internal or external)Internal:- Staff time to design the information packages and coordinate data collection and dissemination;- Hardware, software licences.
External:- Consultants and partners, e.g., regional centres, pilot projects in countries
Partner(s)Governments, the UNEP Chemical Information Exchange Network, the Strategic Approach, Basel and Stockholm convention regional centres.UNEP Division of Environmental Law and Conventions and other multilateral environmental agreements through the existing information and knowledge management initiative.
Title of activityS11. Joint information technology services
MandateSynergies decisions (BC-IX/10, RC-4/11, SC-4/34), section IV D, paragraph 10 (b)"to establish through the Executive Secretaries of the three Conventions, within the secretariats in Geneva and with the aim of improving the level and efficiency of delivery of services, ...(b) A joint information technology service;"Omnibus decisions (BC.Ex-1/1, RC.Ex-1/1, SC.Ex-1/1), section III, paragraph 3 (c):“to establish, through the executive secretaries of the three conventions, taking into account the experiences gained during the interim period, …(c) Joint information technology service.”
Objective1. Improve the level and efficiency of delivery of information technology services;
2. Facilitate the provision and sharing of information by parties;
3. Improve the services provided to parties during meetings of the Conference of the Parties and other relevant meetings by using new technologies to facilitate negotiations;
4. Provide efficient communication mechanisms through e-mail, e-fax and the internet between parties, the secretariat and other convention stakeholders;
5. Provide technology, services and training to the secretariat staff that will ensure the quality and timeliness of meeting documents, information packages, publications, websites and other knowledge management tools;
6. Ensure the necessary security in hosting and archiving the institutional memory of the Basel, Rotterdam and Stockholm conventions;
7. Provide a more integrated and user friendly information technology environment for parties, the Secretariat and other users;
8. Provide a solid platform for building up the clearing house mechanism and other information systems in a standardized manner, achieving as much savings as possible from the reuse of common components and sharing of staff time and other resources.
Indicators of achievement1. New information technology tools and services are available to facilitate the work of the Secretariat, parties and other relevant convention stakeholders;
2. Parties and other stakeholders are satisfied with the service;
3. The quality of meeting documents, information packages, websites, etc., meet contemporary standards;
4. Greater efficiency and personalization in communication with parties and other stakeholders is achieved;
5. Joint information technology services are available and functioning on a regular basis;
6. The clearing-house mechanism, information systems and other projects that depend heavily on technology are running smoothly and not facing any delays due to technological issues.
Short description of the activityProvision to the secretariats of the Basel, Rotterdam and Stockholm conventions of the basic information technology and services required to run the secretariats, including:- Provision, maintenance and disposal of hardware, including personal computers, network equipment, audio-visual equipment, etc.;- Selection, installation and training of office software packages;- Network administration, including cabling, switches, servers, network printers, etc.;- E-mail and e-fax administration, including user account maintenance;- Internet, including remote access for secretariat staff and external users;- Network security, covering anti-spam, anti-virus, backup, etc.;- Helpdesk and troubleshooting.
Expected outputs1. New information technology tools and services are available to facilitate the work of the Secretariat, parties and other relevant convention stakeholders;
2. More integrated information technology platform and service across the three conventions to facilitate parties’ implementation of the conventions
3. Greater efficiency in servicing meetings of the conferences of the parties and other meetings under the three conventions;
4. Stable platform and services to facilitate building the clearing-house mechanism and other information systems;
5. Effective and efficient delivery by the secretariats of the outputs envisaged under their programmes of work.
Method of implementation (internal or external)Internal:- Staff time, hardware, software licences
External:- Consultants, subcontracts.
Partner(s) 

V. Public awareness, outreach and publications

Title of activityS12. Joint communication outreach
MandateSynergies decisions (BC-IX/10, RC-4/11, SC-4/34), section III A;Omnibus decisions (BC.Ex-1/1, RC.Ex-1/1, SC.Ex-1/1), section III.
ObjectiveIncreased awareness of and participation in activities of the Basel, Rotterdam and Stockholm conventions in 2012–2013, including the United Nations Conference on Sustainable Development in May 2012 and national implementation activities thereafter.
Indicators of achievement1. Number of press releases and media coverage of the Basel, Rotterdam and Stockholm conventions;
2. Number of outreach materials produced.
Short description of the activityJoint communication outreach includes the development of outreach materials, e.g., audio-visual materials, posters, newsletters, leaflets, brochures, exhibitions, etc., press briefings, press releases and others.
Expected outputsSupport for the implementation of the Basel, Rotterdam and Stockholm conventions provided through the preparation of outreach materials, including printing and publication, such as:- Press and crisis management strategy;- Ensuring the integrity and management of brands created under the public awareness and outreach thematic group;- Printing and publication;- Speech writing;- Press releases;- Press liaison (United Nations, media, non-governmental organizations);- New media communication strategies (websites, blogs, social networking, clearing house, e-newsletters, editing, web maintenance and development and content research, etc.).
Method of implementation (internal or external)Internal: through collaboration between the three secretariats; staff cost only (non staff costs are included in relevant programmes of each convention).8
Partner(s)Stockholm and Basel convention regional centres, UNEP and FAO regional offices, Basel Action Network, Basel Waste Solutions Circle, International POPs Elimination Network, OzonAction, PCBs Elimination Network, Strategic Approach, regional activity centres for cleaner production, other international stakeholder and United Nations organizations and non-profit and private-sector stakeholders, as appropriate.
8Funds for outreach materials are covered by programmes of the Rotterdam and Stockholm conventions.
Title of activityS13. Joint outreach and public awareness
MandateSynergies decisions (BC-IX/10, RC-4/11, SC-4/34), section III A;Omnibus decisions (BC.Ex-1/1, RC.Ex-1/1, SC.Ex-1/1), section III.
Objective1. Increased popular awareness of the Basel, Rotterdam and Stockholm conventions;
2. Support for goals 4 (Reduce Child Mortality) and 7 (Ensure Environmental Sustainability) of the Millennium Development Goals and the World Summit on Sustainable Development 2020 target to achieve sound management of chemicals and wastes;
3. Development of a joint outreach and public awareness plan, including target groups, key messages and strategic, cost-effective communication channels.
Indicators of achievement1. Number of events organized;
2. Web traffic and usage statistics;
3. Number of target groups participating in events;
4. Number of regional, national and local public awareness and outreach activities launched.
Short description of the activityJoint public awareness and outreach activities will build on the secretariats’ joint public awareness and outreach strategy. Activities will include organization of events involving strategic target groups, participation in events organized by others and the inclusion of Safe Planet activities undertaken by participating organizations and individuals at the regional, national and subnational levels. In addition, the secretariats will study the feasibility of developing a global marketing and sponsorship strategy and promote mobilization of resources by external partners in support of the conventions’ joint outreach and public awareness objectives.
Expected outputs1. Adoption and implementation of the joint outreach and public awareness strategy;
2. Facilitation and oversight of partnership-led activities among target groups;
3. Increased popular awareness of the Basel, Rotterdam and Stockholm conventions in advance of, during and after the United Nations Conference on Sustainable Development and the third meeting of the International Conference on Chemicals Management in 2012;
4. Increased popular understanding of and support for the life cycle approach to chemicals and wastes management.
Method of implementation (internal or external)Internal:- Through collaboration between the three secretariats and subcontracts.
External:- Activities with participating organizations and individuals through their acceptance of United Nations principles and in conformity with the joint strategic public awareness and outreach objectives, aiming at the leveraging of existing resources, partnership agreements, and in kind and voluntary contributions.
Potential Partner(s)Stockholm and Basel convention regional and subregional centres, UNEP and FAO regional offices, Basel Waste Solutions Circle, International POPs Elimination Network, OzonAction, PCBs Elimination Network, Strategic Approach, regional activity centres for cleaner production and other international stakeholder or United Nations organizations, non-profit and private-sector stakeholders, as appropriate.
Title of activityS14. Publications: Produce and disseminate various legal and technical publications, both reprinting and development of new publications
MandateSynergies decisions (BC-IX/10, RC-4/11, SC-4/34);Omnibus decisions (BC.Ex-1/1, RC.Ex-1/1, SC.Ex-1/1).
ObjectiveLegal and technical information is provided to parties and others for the effective implementation of the conventions.
Indicators of achievement1. High-quality publications in printed and electronic form produced;
2. Timely production and delivery of publications;
3. Cost-effective production of publications;
4. Number of legal and technical publications published, reprinted and distributed.
Short description of the activityThe activity will include the following:1. Meet legal, technical and other publication production needs, upon request;
2. Coordinate planning, forecasting, editing, production and distribution of convention publications;
3. Oversee graphic design, review print proofs and provide quality assurance;
4. Liaise with programme officers of the secretariats, graphic designers and printers and follow up on submission dates for final drafts and production schedules.
Expected outputs1. Improved sources of information on legal and technical aspects of hazardous chemicals and wastes;
2. Better understanding of issues related to hazardous chemicals and wastes;
3. Support provided for the implementation of the conventions;
4. Timely and relevant information provided to parties and others.
Method of implementation (internal or external)Internal:- Staff time
External:- Translators, graphic designers, printers, etc
Potential Partner(s)United Nations, UNEP, etc.

VI. Reporting

Title of activityS15. National reporting: revise the reporting systems of the Basel and Stockholm conventions and identify possible areas for streamlining
MandateSynergies decisions (BC-IX/10, SC-4/34), section II A;Omnibus decisions (BC.Ex-1/1, SC.Ex-1/1), section I, paragraph 2.
Objective1. To streamline the reporting formats of the Basel and Stockholm conventions in a harmonized manner;
2. A coordinated and simultaneous information collection mechanism from relevant government agencies for both conventions;
3. National mechanisms for reporting relating to chemicals and wastes multilateral environmental agreements are in place;
4. Increased capacity of focal points and designated authorities to collect and report information.
Indicators of achievement1. Number of reporting parties using the streamlined reporting system for both conventions;
2. Number of participants, number of parties and level of participant satisfaction at each workshop.
Short description of the activityCurrently parties to the Basel Convention have annual reporting requirements while parties to the Stockholm Convention report every four years. To facilitate national reporting for both conventions, the secretariats will:1. Review the reporting systems of both conventions and identify possible areas for streamlining;
2. Analyse the electronic reporting systems in place, identify ways to improve them and implement changes required to allow for more similar national reporting under both conventions;
3. Develop a guidance document or documents for information collection and reporting;
4. Organize regional capacity-building workshops on national reporting to take place in 2012 and 2013.
Expected outputs1. Increased number of reports submitted under the Basel and Stockholm conventions;
2. Reporting system that supports integrated national reporting under both conventions;
3. Capacity-building workshops;
4. A coordinated and simultaneous information collection mechanism from relevant government agencies for both conventions;
5. High-quality information is received through national reports.
Method of implementation (internal or external)Internal:- Thorough revision of the questionnaires and recommendations for streamlined systems;- Preparation of streamlined reporting systems and online reporting interface;- Preparation of guidance materials on the collection and reporting of information.
External:- Regional capacity-building workshops and training to assist parties to achieve better reporting.
Partner(s)Regional centres and the parties to the conventions.

VII. Overall management

Title of activityS16. Resource mobilization
MandateSynergies decisions (BC-IX/10, SC-4/34), section IV B;Omnibus decisions (BC.Ex-1/1, RC.Ex-1/1, SC.Ex-1/1), section III, paragraph 3 (e).
ObjectiveMaximized access to public and private sector funding for implementing the chemicals and wastes agenda in a synergistic manner.
Indicators of achievement1. Joint resource mobilization and fund-raising strategies developed;
2. Identification of funding opportunities and matching needs from countries and regions;
3. Number of project proposals for which funding is obtained.
Short description of the activityThe activities will include to:1. Develop and implement joint resource mobilization and fund raising strategies;
2. Undertake donor and partner profiling and to set up an information database;
3. Monitor and report in compliance with donor requirements;
4. Meet donors;
5. Integrate and support communication and awareness-raising policies.
Expected outputsIncreased ratio of secure funding in relation to projects presented to donors.
Method of implementation (internal or external)Internal: staff travel; special events for raising funds; partnerships with other United Nations entities and the private sector.
Potential Partner(s)United Nations organizations and the private sector.
Title of activityS17. Review arrangements
MandateOmnibus decisions (BC.Ex-1/1, RC.Ex-1/1, SC.Ex-1/1), section VI.
ObjectiveReview of how far the arrangements adopted pursuant to the synergies decisions, in particular on joint activities, joint managerial functions and joint services, have contributed to achieving the following six objectives:1. Strengthening the implementation of the Basel, Rotterdam and Stockholm conventions at the national, regional and global levels;
2. Promoting policy coherence;
3. Reducing administrative burden;
4. Maximizing the effective and efficient use of resources at all levels;
5. Taking into account global concerns and the specific needs of developing countries and countries with economies in transition in this assessment;
6. Protecting human health and the environment for the promotion of sustainable development.
Indicators of achievement1. A questionnaire on the contribution of the arrangements is sent to parties and posted on the conventions’ websites in February 2012;
2. A report on how far the arrangements have contributed to achieving the six objectives is published 90 days before the first meeting of a conference of the parties in 2013.
Short description of the activityAs detailed in annex IV to decision BC-10/29, the secretariats will:1. Prepare in the six official United Nations languages a questionnaire to collect information from parties to the conventions;
2. Send the questionnaire to all parties and post it on the conventions’ websites;
3. Collect responses from parties;
4. Prepare a report;
5. Publish the report 90 days before the first meeting of the conference of the parties of any of the three conventions in 2013.
Expected outputsA report on how far the arrangements pursuant to the synergies decisions have contributed to achieving the objectives mentioned above.
Method of implementation (internal or external)Internal and external: consultant and translation.
Potential Partner(s)Parties to the conventions.

Annex II to decision BC-10/29

Modification of the organization of the joint services of the Basel, Rotterdam and Stockholm conventions

Annex III to decision BC-10/29

Joint workplan for the development of a clearing-house mechanism serving the Basel, Rotterdam and Stockholm conventions covering the biennium 2012–2013

 ActivityDeadline
1.Take stock of existing systems:Develop an inventory of information, tools and infrastructure and human and institutional networks that relate to the three conventions’ current information-exchange activities.March 2012
2.Undertake a needs assessment for the Basel and Rotterdam conventions:In consultation with parties, Basel Convention regional centres and other stakeholders, as appropriate to each convention, assess needs in the context of a clearing-house mechanism.August 2012
3.Design a joint clearing-house mechanism for the Basel, Rotterdam and Stockholm conventions, taking into account the inventory of existing systems (activity 1), the needs assessment (activity 2) and the report of the Secretariat on other clearing-house mechanisms and similar mechanisms in the area of chemicals and wastes, including the identification and prioritization of common components and tools, for development during the biennium 2012–2013.October 2012
4.Develop and deploy the joint clearing-house-mechanism components and tools:This covers diverse activities such as purchasing hardware and software, hiring experts in the area of systems development and architecture, subcontracting graphic designers and software companies for possible systems customization, computer programming, preparation of user manuals and documentation and testing systems and fixing bugs.December 2012 Phase 1December 2013 Phase 2
5.Develop cross-cutting information package as a “one-stop‑shop” of information on chemicals and wastes, covering all three conventions, including country information profiles, joint calendar and joint contact information.August 2012
6.Data entry and formatting:Migrate, where appropriate, data to the joint clearing-house mechanism. Enter any new data gathered through the joint activities of the three conventions.February 2013
7.Jointly maintain websites:Maintain and develop the three conventions’ websites and the joint portal.Continuous
8.Develop a guidance document for the joint clearing‑house mechanism:This guidance document will cover standards and best practices for regional and national institutions that would like to develop their own clearing-house mechanism nodes. It will facilitate the compatibility and interoperability of systems under the joint clearing-house mechanism.December 2012
9.Implement joint capacity-building and stakeholder consultation:Implement joint capacity-building, including through training workshops and technical capacity enhancement activities for parties to all three conventions; gather feedback to inform the future development of the clearing-house mechanism.December 2013

Annex IV to decision BC-10/29

Detailed terms of reference for the preparation of the report by the secretariats of the three conventions

I. Purpose of the report

1.In line with section VI of the omnibus decisions, the purpose of the report by the secretariats is to review how far the arrangements adopted pursuant to the synergies decisions, in particular on joint activities, joint managerial functions and joint services, have contributed to achieving the following objectives (hereinafter referred to as “the six objectives”):
(a)Strengthening the implementation of the three conventions at the national, regional and global levels;
(b)Promoting coherent policy guidance;
(c)Reducing administrative burden;
(d)Maximizing the effective and efficient use of resources at all levels;
(e)Taking into account global concerns and the specific needs of developing countries and countries with economies in transition;
(f)Protecting human health and the environment for the promotion of sustainable development.

II. Scope of the report

2.The material scope of the report will be based on the six objectives and how far the arrangements adopted pursuant to the synergies decisions, in particular on joint activities, joint managerial functions and joint services, have contributed to achieving them. The report will extend to other arrangements adopted pursuant to the synergies decisions, if and where appropriate, keeping in mind that the report is not intended to review parties’ activities.
3.The report covers the period from the adoption of the synergies decisions (May 2009) to August 2012.

III. Methodology

A. Questionnaire

4.A questionnaire to be sent to parties will be jointly prepared by the three secretariats. It will be made available in the six official languages of the United Nations. The questionnaire will be concise and consist of three parts:
(a)Request for information on whether and how much the arrangements – joint activities, joint managerial functions, and joint services – have contributed to the six objectives. In addition, parties will have an opportunity to make specific comments and recommendations on whether and how the arrangements have contributed to each objective and on their experience at the country level;
(b)Request for information or comments on the challenges or obstacles experienced in the achievement of the six objectives;
(c)Request for specific or general recommendations to parties, the secretariats, UNEP, FAO and other institutions and stakeholders as appropriate, on steps that could be taken to make the synergies arrangements, in particular on joint activities, joint managerial functions and joint services, better contribute to the six objectives.
5.The questionnaires will be sent to all parties and made available on the individual and on the synergies websites of the conventions. Completed questionnaires will also be made available on these websites.

B. Report

6.A report of no more than 20 pages in length will be jointly prepared by the three secretariats and will be based on the following outline:
(a)Introduction;
(b)Review of the responses from parties submitted via the questionnaire;
(c)Views of the secretariats on the arrangements;
(d)Conclusions and recommendations.
7.The completed questionnaires will also be made available to the conferences of the parties.

IV. Working relationship with the joint evaluation offices

8.Although the two reports that will be prepared for the conferences of the parties will be independent of each other, the secretariats and the UNEP and FAO evaluation offices will cooperate and exchange information to avoid duplication and to gain from each other’s efforts, where applicable.

V. Timeline for the preparation of the report

ActivityDeadline
Preparation and translation of the questionnaire31 March 2012
Questionnaire sent out to all parties and posted on the websites of the conventions30 April 2012
Collection of responses from parties31 August 2012
Finalization of the secretariats’ report31 Decenber 2012
Report published on the website of the conventionsNinety days before the first meeting of a conference of the parties in 2013

Annex V to decision BC-10/29

Terms of reference for the preparation of the report by the evaluation offices of the United Nations Environment Programme and the Food and Agriculture Organization of the United Nations

I. Background

1.Decisions BC.Ex-1/1, RC.Ex-1/1 and SC.Ex-1/1 (the “omnibus decisions”), were adopted by the conferences of the parties to the Basel, Rotterdam and Stockholm conventions, respectively, at their simultaneous extraordinary meetings in Bali, Indonesia, on 24 February 2010. In section VI of the omnibus decisions, entitled “Review arrangements”, the conferences of the parties decided that at their respective meetings in 2013, in accordance with the timetable contained in the annex to the omnibus decisions, they would review the arrangements adopted pursuant to the synergies decisions, in particular on joint activities, joint managerial functions and joint services, to determine how far they had contributed to achieving the following objectives:
(a)Strengthening of the implementation of the three Conventions at the national, regional and global levels;
(b)Promoting coherent policy guidance;
(c)Reducing administrative burden;
(d)Maximizing the effective and efficient use of resources at all levels;
(e)Taking into account global concerns and the specific needs of developing countries and countries with economies in transition;
(f)Protecting human health and the environment for the promotion of sustainable development;
2.The purpose of the review is to assess progress made towards the implementation of the synergies decisions with the objective of establishing how the synergies process has contributed to enhancing cooperation and coordination at the national, regional and global levels. The review will take into account progress made by the parties, the secretariats, UNEP, FAO and other institutions mentioned in the synergies decisions towards the implementation of those decisions and other relevant decisions emerging from the extraordinary meetings of the conferences of the parties.

II. Objectives and scope of the review

A. Objectives

3.In order to undertake an evaluation following international best practices, the objectives of the review are to examine:
(a)The extent to which the processes for enhancing cooperation and coordination have taken into account global concerns and responded to the specific needs of developing countries and countries with economies in transition;
(b)The extent to which actions taken to enhance coordination and cooperation have helped to strengthen the implementation of the three conventions at the national, regional and global levels, have helped to promote coherent policy guidance and have enhanced efficiency in the provision of support to parties with a view to reducing their administrative burden and maximizing the effective and efficient use of resources at all levels;
(c)Whether enhanced coordination and cooperation among the three conventions have contributed to the achievement of their ultimate common objectives: the protection of human health and the environment for the promotion of sustainable development.
4.The review would contain recommendations to parties, the secretariats, UNEP, FAO and other institutions and stakeholders, as appropriate. It would take into account assessments that may have been undertaken in response to decisions by the conferences of the parties at their meetings in 2011.

B. Scope

5.The review will be both retrospective and prospective. This involves taking stock of the past while looking into the future with regard to the role of the secretariats in enhancing cooperation and coordination and promoting enhanced policy guidance and efficiencies in their support for parties. While taking a longer-term perspective on the issue, the review will focus on the period since the synergies decisions came into effect. In doing so, the review will take account of the conditions prevailing before the synergies decisions were adopted.
6.The review will not assess, or seek to reach any definitive conclusions on, compliance with the provisions of the conventions. Instead, its focus will be on overall efforts by the respective organizations and the secretariats of the conventions to cooperate and to coordinate their activities with the aim of promoting efficiencies in their support for parties. The review will identify key lessons learned or to be learned and make targeted recommendations for future improvement.
7.It will involve, among other things, a detailed analysis of actions initiated to enhance cooperation and coordination with a view to reducing the administrative burden of the conventions and maximizing the efficient use of resources at all levels.

III. Review criteria and key questions

8.While always taking into account the standard internationally accepted evaluation criteria included under objectives-based evaluations (i.e., relevance, effectiveness, efficiency, impact and sustainability), these review criteria are not exclusive. The review will be organized around a set of specific review questions. With such an approach, the criteria will be translated into specific questions, and each question may be aimed at eliciting information pertinent to one or more of the criteria. These questions are intended to give a more precise and accessible form to the review criteria and to articulate the key issues of concern to stakeholders, thus optimizing the focus and usefulness of the review.

A. Relevance

9.The review will assess the overall relevance of the synergies decisions, asking whether they make sense in the broader global political, institutional and environmental context; whether they respond to the particular needs of all parties to the conventions, in particular developing countries and countries with economies in transition; and whether they are likely to enhance the effectiveness and efficiency of the three conventions.
10.The review will further determine whether, in retrospect, the actions taken to enhance synergies among the conventions were consistent with the decisions adopted by the parties. It will ascertain the nature and significance of the contribution to the outcomes achieved to date, to the broader goal of reducing the administrative burden on the conventions and to maximizing the use of resources.

B. Effectiveness and impact

11.The review will evaluate how, and to what extent, the synergies decisions have strengthened the implementation of the three conventions at the national, regional and global levels and effectively promoted policy coherence between them. The assessment will take into account any achievement indicators that may have been stated in the decisions themselves.
12.The analysis of outcomes achieved should include an assessment of the extent to which the mechanisms established following the adoption of the omnibus decisions have directly or indirectly assisted in promoting and enhancing cooperation and coordination among the conventions. The review will seek to establish how these outcomes have contributed or will contribute to the achievement of the ultimate common objectives of the conventions: the protection of human health and the environment for the promotion of sustainable development.

C. Efficiency

13.Efficiency will be assessed at three levels. First, the review will consider whether the efforts and actions taken to forge synergies among the three conventions were cost‑effective and undertaken in a timely manner.
14.Second, the review will evaluate whether the actions taken as a result of the synergies decisions have effectively reduced the administrative burden on the convention secretariats, parties and other stakeholders, and have genuinely contributed to maximizing the efficient use of resources at all levels.
15.Third, the review will assess whether the synergies decisions have led to improved efficiency in the implementation of convention-related actions or activities at the national level.

D. Sustainability

16.Sustainability is understood as the probability of continued long-term outcomes and impacts. The review will bring to light the factors that will determine the persistence of benefits derived from the efforts to foster synergies, such as enhanced effectiveness and efficiency of the conventions or improved coherence among them. Other factors might be stronger institutional capacity, better coordinated and informed decision‑making or a positive perception by the parties of the outcomes of the synergies decisions themselves.

IV. Methods

17.This study will be conducted as an in-depth review using a participatory approach by the UNEP and FAO evaluation offices. The secretariats of the respective conventions, the bureaux, parties and other relevant stakeholders will be kept informed regularly. The independent reviewers commissioned to undertake the review will liaise with the evaluation offices on any logistical and methodological issues germane to the proper conduct of the review in a manner that is as independent as possible given the circumstances and the resources provided.
18.The review will seek inputs from parties, the secretariats of the Basel, Rotterdam and Stockholm conventions, as well as other stakeholders, and comprise broad research, data collection and analysis, in addition to selected investigations through interviews, a questionnaire or questionnaires, global consultations, regional consultations and reviews of key documents and financial information. All these approaches will focus on the questions set out in section III above.
19.The omnibus decisions and other related supporting documentation were used to derive preliminary outcome- and output-level performance indicators9 for use in the review, which are listed in table 1.9Section VI of the omnibus decisions, on review arrangements, specifies in paragraph 4 that the terms of reference for the review should include performance indicators.

Table 1 Preliminary performance indicators for use in the review

OutcomesIndicators
Joint implementation of substantive activities at the national, regional and global levelsNumber and outputs of joint activities under implementation such as technical guidance and standards and capacity-buildingCoordinated national reporting compliant with individual convention requirementsSatisfaction of parties with joint activitiesProportion of joint activities of projects undertaken by regional centresSatisfaction of regional centres with regard to cooperation between them
Institutionalized joint financial management and audit services for the three conventionsSatisfaction of stakeholders with arrangements for sharing audit reportsCross-cutting Office of Internal Oversight Services audit report shared with the conferences of the parties at their meetings in 2011Convention budget cycles remain synchronized with those of UNEP and FAOSatisfaction of stakeholders and secretariats with financial and administrative support arrangements
Resource mobilization: increased funding for the implementation of convention-related activitiesIncrease in secured funding for national, regional and global implementation per convention as reflected in the secretariats’ budgetsIncrease in expenditure on advocacy for resource mobilization per convention
Public information products and outreach services jointly provided in relation to the three conventionsSatisfaction of all stakeholders with public information products (such as websites) and outreach services provided
Joint management processes and structures operational for the three conventionsFormal joint management group established with defined terms of referenceExecutive Secretary of the three convention secretariats appointedSatisfaction of regional centres with regard to information exchange with the joint management structureRatio/percentage of documents that have been prepared reflecting the policy framework of all three conventions.
Joint resource mobilization effortsPreparation of a joint resource mobilization strategy
Common information technology service provision for the three conventionsSatisfaction of secretariat staff with information technology services providedReduced costs of the provision of information technology services
Legal service for the three conventions operationalSatisfaction of secretariat staff and stakeholders with legal services providedRatio/percentage of draft decisions that have been prepared taking into account the legal framework of all three conventionsReduced costs of the provision of legal services
Common information-sharing tools and mechanismsExistence of tools, procedures and agreements for sharing legal, technical and scientific information
Increased cooperation and coordination on technical issuesList of joint coordinated work on technical issues (e.g., guidelines)
20.The review will consist of three main phases, in the course of which four methodological stages will be developed. The phases are listed in table 2.

Table 2 Main phases of the review process

Three main phases of developmentFour methodological stages
 Structuring of the review
• InceptionData collection
• ImplementationAnalysis
• Synthesis and reportingJudgements on findings and recommendations

A. Inception

21.This phase will include the preparation of a review framework and data collection and analysis methods and tools. It will feature an extensive desk study and be concluded with the preparation of an inception report.
22.The review framework will provide details on the review questions, information sources, data collection and analysis tools, and performance indicators. The desk study will review decisions of the conferences of the parties, relevant documents prepared by the secretariats, documents and decisions of the Ad Hoc Joint Working Group on Enhancing Cooperation and Coordination among the Basel, Rotterdam and Stockholm Conventions, progress reports, minutes of meetings and relevant correspondence.
23.Preliminary interviews will be conducted with staff working on convention issues, the management teams of the secretariats and of the administering organizations (UNEP and, in the case of the Rotterdam Convention, with FAO), representatives of parties, non‑governmental and civil society organizations and other relevant stakeholders. Their views will be sought on the progress made by parties, the secretariats, UNEP, FAO and other institutions mentioned in the synergies decisions towards the implementation of those decisions and relevant decisions emerging from any extraordinary meetings of the conferences of the parties.
24.The inception report will present the context of the synergies decisions and the review framework. It will present the first findings derived from the desk study and include a list of issues requiring further investigation in the implementation phase of the review. The inception report will be shared with the advisory panel for the review (see below).

B. Implementation phase

25.The main purpose of the implementation phase will be to complete and validate the information obtained during the inception phase. It will mainly consist of further document reviews and in-depth interviews with and surveys of key individuals in UNEP, FAO, the secretariats, party representatives and other key partner organizations.
26.Questionnaires could also be employed to gather data from a broad range of stakeholders. There are obvious potential synergies in this regard with the parallel review being led and undertaken by the secretariats. If feasible, and to avoid duplication of effort, the evaluators will engage with the secretariats to prepare a consolidated and comprehensive survey instrument that will meet the needs of both review efforts.
27.Analysis of the information collected will lead to an overall judgement on progress made towards the implementation of the synergies decisions and, ultimately, the degree to which implementation of the decisions has contributed to enhanced coordination and cooperation between the conventions and has made the use of their resources more efficient. Before the synthesis and reporting phase, the review team will present its emerging findings to the advisory panel for feedback.

C. Synthesis and reporting phase

28.Based on the information collected and analysed during the previous phases, the review team will draft a review report. The report will build on relevant sections of the inception report and expand on the issues for further investigation previously identified therein. It will also present the lessons learned and recommendations of the review. The draft report will by reviewed by the advisory panel before it is finalized.

V. Expected outputs

29.The main output of the review will be a final report. The report should be brief, to the point and easy to understand. It must explain the purpose of the review, exactly what was reviewed and the methods used. The report must highlight any methodological limitations, identify key concerns and present evidence-based findings, consequent conclusions, recommendations and lessons. The report should provide information on when the review took place, the places visited and who was involved and should be presented in a way that makes the information accessible and comprehensible. The report should include an executive summary that encapsulates the essence of the information contained in the main report to facilitate dissemination and distillation of lessons.
30.Evidence, findings, conclusions and recommendations should be presented in a complete and balanced manner. The report must be written in English, be no longer than 50 pages (excluding annexes), use numbered paragraphs and include:
(a)An executive summary (no more than three pages) providing a brief overview of the review’s main conclusions and recommendations;
(b)Introduction and background giving a brief overview of the synergies decisions under review in their broader context and of the origins of the review;
(c)Scope, objective and methods presenting the review’s purpose, the review criteria used and questions to be considered;
(d)Overall performance and impact providing factual evidence relevant to the questions asked and interpretations of such evidence (the main substantive section of the report);
(e)Conclusions presenting the review’s concluding assessments against the given review criteria and standards of performance. The conclusions should provide answers to the key questions and assess the results achieved to date;
(f)Lessons learned, presenting general conclusions based on established good practices that have the potential for wider application and use. Lessons may also be derived from problems, gaps and mistakes. The context in which lessons may be applied should be clearly specified, and lessons should always state or imply some prescriptive action. A lesson should be written such that experiences derived could be applied in other similar situations;
(g)Recommendations suggesting actionable proposals for improvement. Prior to each recommendation, the issue or problem that the recommendation is meant to solve should be clearly stated. The recommendations should be relevant within the context of the conventions and organized by target groups. They should be prioritized according to their importance and urgency to the purpose of the review. Options for implementing the recommendations with an indication of their respective limits and possible risks should be presented. Recommendations will in all cases need to be cross‑referenced to the corresponding findings or conclusions;1010A high-quality recommendation is an actionable proposal that is feasible to implement within the time frame and resources available; commensurate with the available capacities of implementation partners; specific in terms of who would do what and when; contains results-based language (i.e., a measurable performance target); and includes a trade-off analysis, when its implementation may require using significant resources that would otherwise be used for other purposes.
(h)Annexes, including terms of reference, a list of interviewees, documents reviewed and a brief summary of the expertise of the review team. Dissenting views or management responses to the review findings may later be annexed.

VI. Tasks and schedule

31.The review is expected to be implemented as set out in table 3.

Table 3 – Schedule for the review

Deliverable/activityIndicative time frame
Inception (November 2011–March 2012)
Inception – evaluation framework (following decision of the final meeting of a conference of the parties in 2011)November 2011
Desk reviewDecember 2011
Draft inception reportEnd of February 2012
Final inception reportEnd of March 2012
Implementation (December 2011–15 May 2012)
Additional desk reviewMarch–April 2012
Stakeholder interviews (including field missions)April–May 2012
Data collation and analysisMay–June 2012
Debriefing on emerging findings15 May 2012
Reporting (15 May 2012–March 2013)
Submission of the first draft report to UNEP and FAO30 June 2012
Presentation of the first draft report to the advisory panel15 July 2012
Presentation of the second draft report to the advisory panel7 September 2012
Distribution of the report by UNEP and FAO for comments by the parties and other stakeholders31 October 2012
Deadline for comments by the parties and other stakeholders on the report by UNEP and FAO15 December 2012
Publishing of the final report on the websites15 January 2013
Consideration of the review by the conferences of the parties and adoption of decisions by the conferences of the partiesAfter March 2013

VII. Management arrangements

32.The review will be jointly managed by the evaluation offices of UNEP and FAO, which will each appoint a task manager to manage the review process. The task managers will provide backstopping support and ensure coordination and liaison with all concerned units and other key agencies and stakeholders; they will determine the review team composition, provide overall guidance and ensure substantive supervision of all research. The UNEP Evaluation Office will, in consultation with its FAO counterpart, select and contract the international consultants to the review team.
33.The review team will be responsible for the development, research, drafting and finalization of the review in close consultation with the task managers and other relevant units of UNEP and FAO, in addition to the secretariats.
34.The evaluation offices will meet all costs related to conducting the review and will manage the review process, providing support and ensuring coordination and liaison with key agencies. They will be responsible for the final evaluation report and for its formal presentation to the conferences of the parties.

VIII. Review team

35.The review will be carried out by a team with advanced knowledge and experience in the following fields: chemicals and wastes; multilateral environmental agreements; international affairs and international development administration; institutional reform and business processes. The team must also possess an in-depth understanding of, and familiarity with, evaluation methods and techniques and documented experience in conducting evaluations and reviews. The team must be prepared to work in English and possess excellent drafting skills.
36.The core review team will comprise two international consultants. One will be designated as the team leader and will provide intellectual leadership and direction for the review and be responsible for delivering the final product. The other will be a subject‑matter specialist and have a good understanding of and expertise in multilateral and intergovernmental processes and in evaluation methods and processes. The team will be supported by designated staff from the UNEP and FAO evaluation offices. These task managers will provide overall guidance for the review and participate in the review as they deem appropriate.
37.The review team leader and all other members of the review team will be selected by the evaluation offices taking into account the technical qualifications of the consultants in the subject matter and in evaluation and review methods.
38.All team members will be responsible for drafting components of the report while the team leader will be responsible for drafting the integrated final report and executive summary with the support of the task managers.

IX. Advisory panel

39.As part of the consultative process in undertaking the review, an external advisory panel comprising six experts will be set up by the evaluation offices. The members will be selected on the basis of their recognized stature in the fields of chemicals and wastes, multilateral environmental agreements and evaluations and reviews. The advisory panel will ensure quality control of the review. It will review and provide comments on the inception report, the draft report and the final review report. The evaluation offices will form part of the extended advisory panel, which will remain in existence until the completion, dissemination and final review of the report. Inputs from and comments of the advisory panel are expected to enrich the process and enhance broader understanding of the issues.

X. Quality assurance team

40.A joint internal quality assurance team comprising designated staff from the evaluation offices (but excluding task managers) will be set up to ensure adherence to the evaluation offices’ quality standards pertaining to both the process and the review outputs or milestones.

XI. Review audience

41.The users of the review are the parties to the conventions, the UNEP and FAO management teams and the secretariats. Considerable interest is likely to be shown in the review by other stakeholders, including other convention parties and secretariats, various multinational organizations, the academic community, think tanks and many non-governmental and civil society organizations.

XII. Follow-up, dissemination and learning

42.The review is expected to help the parties, the secretariats, UNEP and FAO to identify key lessons on strategic positioning that can provide a useful basis for strengthening cooperation and coordination among the conventions. It will present good practices and also draw lessons from unintended results.
43.The review and resulting recommendations will be shared with the parties to the conventions, the secretariats and other interested stakeholders. The review will be presented to the conferences of the parties and the secretariats, who will be responsible for preparing a management response to the findings and recommendations. Innovative ways of disseminating the review findings will be sought to reach as wide a range of stakeholders as possible.