Arrangements for Pilot Project Selection, Implementation, Evaluation and Reporting Under

Arrangements for pilot project selection, implementation, evaluation and reporting under the expert working group on

environmentally sound management[1]

I. Background

1.  At its first and successive meetings, the expert working group on environmentally sound management selected a number of pilot projects for implementation with the objective of:

-  Demonstrating that implementation of environmentally sound management (ESM) is possible;

-  Testing the tools developed and improving their practicability;

-  Promoting the use of the tools and the implementation of ESM through dissemination of the project results.

2.  The first three pilot projects were selected for implementation at the first meeting of the expert working group.[2] At its third meeting, the group selected two additional pilot projects[3] and agreed that if pilot projects continued to form part of its work programme, an assessment process would need to be developed.[4] Accordingly, the work programme of the expert working group for the biennium 2015–2016, adopted at the twelfth meeting of the Conference of the Parties to the Basel Convention, requests the expert working group to continue to implement pilot projects, to establish a working structure or steering group for pilot projects and to report on and evaluate pilot projects undertaken in the context of this group.[5]

3.  At its fourth meeting, the expert working group agreed on the key aspects of an assessment process for pilot projects and a draft version of the terms of reference for a steering group to oversee such projects. Based on the outcomes of the meeting, the Secretariat developed the present ‘arrangements for pilot project selection, implementation, evaluation and reporting’ and subsequently incorporated the comments received from the group at its fifth meeting, as well as intersessionally. This document suggests a standardized procedure for the selection, implementation and evaluation of pilot projects.

II. Overview

4.  The processes related to a pilot project can be divided into five stages:

(a)  Submission of the proposal;

(b)  Selection of the project;

(c)  Implementation of the project;

(d)  Final evaluation of the project;

(e)  Dissemination of the results.

5.  This document has been structured according to these stages, with each stage being described in a separate chapter. The document further suggests using standardized forms to facilitate the oversight and evaluation of the projects. Annexes III to VII contain the respective templates. Any reference to activities undertaken by the Secretariat in respect of pilot projects will be subject to receipt of the necessary financial resources.

6.  The terms of reference for the steering group and a list of its members are set out in annexes I and II respectively.

III. Submission of proposals

7.  Following each meeting of the expert working group, the Secretariat shall circulate to the members of the group a reminder, which allows for provision of guidance by the group on the types of proposals that are requested for the next expert working group meeting. The expert working group may specify the budget range for the project proposals requested for the following meeting. Only projects that address the ESM of hazardous wastes or other wastes, in particular those that encourage use of the ESM toolkit developed by the expert working group, are eligible for selection. The projects should further demonstrate a practical aspect of ESM with a potential of being implemented by other stakeholders. Project proposals from Parties or Basel Convention Regional Centres are strongly encouraged. Other selection criteria may be specified, if so decided by the expert working group.

8.  Proposals are to be submitted through the Secretariat three months prior to the meeting of the group, unless agreed otherwise by the group, using the template available in annex III (ESM pilot project – Project proposal). Only the proposals received by the deadline will be considered for selection.

IV. Selection of projects

9.  The Secretariat shall circulate the proposals received by the deadline to the steering group for its consideration. On receipt of proposals, the members of the steering group may request additional information and/or ask clarifying questions to the proponent through the Secretariat as they may deem necessary. On receipt of the responses to all questions and transmission of any additional information that may have been requested, the steering group shall proceed with assessing each proposal using the template available in annex IV (ESM pilot project - Project selection). The assessment procedure for project proposals is based on a point system, which allows for a ranking of the received proposals. According to the evaluation scheme, a proposal scores the maximum number of points:

(a)  If a new proponent and/or several proponents jointly submit the proposal;

(b)  If the proposed project addresses a new aspect[6] of ESM and/or tackles a new waste stream;[7]

(c)  If the proposed project involves a new stakeholder group[8] and/or a broad variety of stakeholder groups;

(d)  If the proposed project aims at testing existing ESM tools or providing proposals for the improvement of existing tools or the development of new ESM tools;

(e)  If the proposed project builds on and further elaborates the experience and lessons learned from previous pilot projects;

(f)  If the goals of the proposed project are defined to stimulate positive long-term trends or are otherwise of high relevance to national ESM policies;

(g)  If the project has a high potential for scalability and/or replicability;

(h)  If the overall relevance of the proposed project to the work of and tools developed by the expert working group is high.

10.  The steering group shall issue a recommendation listing the project proposals it recommends for selection by the expert working group. The ranking of the proposals in accordance with the point system described above shall serve as a basis for the steering group’s recommendation. The steering group may, however, also consider other criteria if appropriate, such as the technical feasibility of the proposed project and the geographical distribution of pilot projects. The steering group shall issue its recommendation at least one month prior to the meeting of the expert working group and submit it to the expert working group. At the meeting of the expert working group, the steering group shall present its findings, to enable the expert working group to make an informed decision as to its selection.

V. Implementation

11.  Following the selection of a pilot project, the Secretariat shall engage with the proponent(s) to develop a final project description clearly describing the objectives, activities, expected results, deliverables, budget and implementation timeline, by using the template available in annex V (ESM pilot project – Project description), including any adjustments to the project proposal that may have been requested by the expert working group. This description shall be annexed to the legal agreement signed with the proponent.

12.  The Secretariat closely monitors the implementation of the project and regularly informs the steering group on the progress made. The steering group may provide overall guidance to the Secretariat and proponent on the project implementation, including on methodologies and substantive matters. Upon finalization of the pilot project, the proponent shall submit the final deliverables to the steering group for review. The final deliverables are to be revised in accordance with any comments submitted through the Secretariat and, as appropriate, published on the website. The proponent shall further submit a project summary report to the steering group, using the template available in annex VI (ESM pilot project - Final report).

VI. Final evaluation

13.  Once the final report has been received, the steering group shall undertake a final evaluation of the pilot project, using the template available in annex VII (ESM pilot project – Final evaluation). The evaluation questions focus on the following aspects:

(a)  Participation of targeted stakeholder groups;

(b)  Feedback on existing ESM tools and/or development of new ESM tools;

(c)  Revision and submission of the project deliverables;

(d)  Overall quality of the project deliverables;

(e)  Sustainability of the improvements in ESM capacity in the project country;

(f)  Suitability for replication (incl. development of generic project template);

(g)  Observance of the budget and timeframe;

(h)  Overall quality and efficiency of the project implementation.

14.  The expert working group shall, through the Secretariat, report to the Conference of the Parties on the pilot project activities undertaken. This report shall include justification of the selection of the projects implemented, as well as any lessons learned and conclusions arising out of the pilot projects.

VII. Dissemination of results

15.  Based on the final evaluation of the pilot project, the Secretariat shall prepare a short factsheet summarizing the outcomes of the project. The factsheet shall be published on the website of the Basel Convention to be used in awareness-raising activities by Parties and others to draw attention to the results of the project and invite stakeholders to consider these outcomes in their ESM policies.

Annex I

Terms of reference of the steering group

Composition

1.  The steering group is composed of 10 members of the expert working group. The expert working group shall elect the members of the steering group each biennium, taking into account equitable geographic distribution of the five regional groups of the United Nations as follows:

(a)  African States: 2

(b)  Asian and Pacific States: 2

(c)  Central and Eastern European States: 2

(d)  Latin American and Caribbean States: 2

(e)  Western European and other States: 2

2.  The members of the steering group shall designate a facilitator for the group at its first meeting.

Functions

3.  The steering group shall exercise the following functions:

(a)  Assess and recommend new pilot projects for selection by the expert working group;

(b)  Provide overall guidance on project implementation, including on methodologies and substantive matters;

(c)  Monitor the progress made in the implementation of pilot projects, including adherence to the terms of reference for the implementation of the pilot project;

(d)  Review the deliverables and provide timely comments to the proponents through the Secretariat;

(e)  Prepare an evaluation of pilot projects upon their finalization for the consideration by the EWG; and

(f)  Oversee the dissemination activities, as appropriate.

Working modalities

4.  The steering group shall work by electronic means and may meet electronically at intervals as it may deem necessary. The steering group may also decide to meet during the face-to-face meetings of the expert working group, time permitting.

Administrative and procedural matters

5.  In addition to following the procedures within the present terms of reference, the steering group shall apply, mutatis mutandis, the rules of procedure of the Conference of the Parties, unless otherwise provided in these terms of reference or any decision of the Conference of the Parties specific to the expert working group.

Secretariat

6.  The Secretariat shall arrange for and service the meetings and support the activities of the steering group.

Annex II

Membership of the steering group (2016-2017 biennium)

Member / Region / Party / Other entity / Role /
Samwel Manyele / Africa / Tanzania /
Adel Shafei Osman / Africa / Egypt /
Michikazu Kojima / Asia / Japan /
Upik Sitti Aslia Kamil / Asia / Indonesia /
Peter Wessman / CEE / European Union /
Viktoriya Belokonska / CEE /
Marilia Viotti / Sabrina Andrade / GRULAC / Brazil /
Leila Devia / GRULAC / BCRC Argentina /
Nathan Wittstruck / Marie Boucher / WEOG / United States of America /
Silje Johannessen / WEOG / Norway /
BRS Secretariat / Support and other arrangements as requested by the steering group. /
Donor countries / Donor countries are entitled attend and participate in the meetings of the steering group. /

Annex III

ESM pilot project – Project proposal

1. / Identification
1.1 / Title
1.2 / Proponent(s)
Contact details
(If the project has more than one proponent, please provide their contact details in the comment section) / First Name: / Family Name:
Position: / Institution:
Address:
City: / Zip code:
Country:
Tel: / Fax:
Email:
Comment
1.3 / Executing entity
Contact details
(If the project has more than one executing entity, please provide their contact details in the comment section) / First Name: / Family Name:
Position: / Institution:
Address:
City: / Zip code:
Country:
Tel: / Fax:
Email:
Comment
1.4 / Project location(s)
1.5 / Project duration / From (MM/YYYY): / To (MM/YYYY):
Comment
2. / Implementation
2.1 / Background
2.2 / Objectives / - 
2.3 / Activities / - 
2.4 / Documents/tools to be developed / - 
-  3. / Budget
3.1 / Consultant(s) engaged / Yes / No
Comment
3.2 / Budget breakdown (Please add more lines if needed)
Budget component / Cost (BRS) / Cost (Proponent/ Executing entity)
Total cost
Comment
-  4. / Relevance to the work of EWG
4.1 / Innovation
Does the project tackle a new aspect of ESM?[9] If yes, please explain in the comment section. / Yes / No
Comment
Does the project tackle a new waste stream?[10] If yes, please explain in the comment section. / Yes / No
Comment
Does the project involve a new stakeholder group?[11] If yes, please explain the comment section. / Yes / No
Comment
4.2 / Development of ESM tools
Does the project aim at testing existing ESM tools and providing feedback for improvement of these tools to the Secretariat? If yes, please explain in the comment section. / Yes / No
Comment
Does the project aim at developing new ESM tools? If yes, please explain in the comment section. / Yes / No
Comment
4.3 / National relevance
Are the objectives of the project defined to stimulate positive long-term trends or are they otherwise of relevance to national ESM policies? If yes, please explain in the comment section. / Yes / No
Comment
4.4 / Replicability
Does the project have a high potential for scale/replicability, e.g. by providing a practical example of how other Parties and stakeholders can better succeed in ESM activities? If yes, please explain in the comment section. / Yes / No
Comment

Annex IV

ESM pilot project – Project selection

Partner’s name:

Overall Cost:

Expected Accomplishment(s):

Output(s):

Title of the project: “”

-  1. / Preliminary condition

Only project proposals that address ESM of hazardous or other wastes, and that present a coherent work plan and an appropriate allocation of tasks and resources are eligible for selection.