UNEP/CHW.10/23

UNITED
NATIONS / / BC
UNEP/CHW.10/23
/ Distr.: General
20 June 2011
Original: English

Conference of the Parties to the Basel Convention

on the Control of Transboundary Movements of

Hazardous Wastes and Their Disposal

Tenth meeting

Cartagena, Colombia, 17–21 October 2011

Item 3 (f) (i) of the provisional agenda[*]

Matters related to the implementation of the Convention:
financial matters: programme of work and budget

Programme budget for the biennium 2012–2013

Note by the Secretariat

Introduction

  1. In its decision IX/31, the Conference of the Parties to the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposalnoted the need to facilitate priority-setting by providing parties with timely information on the financial consequences of different options and to that end requested the Executive Secretary to include in the proposed programme budget for the biennium 2012–2013 two alternatives based on:

(a)The Executive Secretary’s assessment of the required rate of growth of the programme budget;

(b)Maintaining the average annual operational budget at the 2009–2011 level in real terms.

  1. Pursuant to decision IX/31 the Secretariat presents in the annexes to the present note a draft programme budget based on maintaining the average annual operational budget at the 2009–2011 level in real terms. It has been prepared by the Secretariat taking into account the measurable indicators of achievement and performance listed in decision OEWG-VII/17 of the Open-ended Working Group.
  2. A draft programme budget based on the Executive Secretary’s assessment of the required growth of the programme budget will be presented in an addendum to the present note.

I.Implementation

A.Overview of the proposed programme of work for the biennium 2012–2013

  1. The proposed programme of work to be funded through the core budget of the Convention, which is financed from the Trust Fund for the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal (BCTrust Fund) aims to enable the Secretariat to fulfil its core functions in accordance with Article 16 of the Convention (notably arranging and servicing meetings, coordination and information management), to provide other support services (such as legal and technical support, resource mobilization and public relations and outreach) and to carry out a programme of capacity-building to support the implementation of the Convention. Nonstaff costs related to capacitybuilding activities are funded through voluntary contributions held in the Technical Cooperation Trust Fund (BD Trust Fund).
  2. The proposed programme of work is based on the following considerations:

(a)With regard to supporting the implementation of the Convention, the primary role of the Secretariat will continue to be the development and promotion of the use of technical guidelines, enforcement and compliance manuals and national reporting guidelines. The use of guidelines and tools relating to hazardous substances and waste streams and operational guidelines is promoted in cooperation with a variety of partners, with the Secretariat taking the lead in respect of global approaches and coordination and the Basel Convention regional and coordinating centres taking the lead at the regional and subregional levels and in support for national efforts;

(b)Over the past triennium, the Secretariat has increasingly focused on facilitating and supporting project work carried out by the Convention’s regional and coordinating centres and other partners, rather than taking a lead role in such work. Continuing this approach, the Secretariat will henceforth focus only on pilot projects of strategic interest for the Basel Convention, e.g., where there is a need for Secretariat engagement in enforcement and compliance activities, testing of new guidelines, synergies projects with 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 or development of concepts for newly identified priority waste streams. In carrying out this work the Secretariat will approach donors for sufficient project funding, including funding for project management;

(c)The Secretariat continues to assist Basel Convention regional and coordinating centres in developing and implementing projects. A stepwise approach will be followed to reduce this supporting role further and to enable the centres to act independently as regional and subregional centres for training and technology transfer;

(d)While the Secretariat is reducing its involvement in direct project implementation, efforts will be increased to develop partnerships and cooperation with international organizations to strengthen cooperation with key partners that deal directly or indirectly with waste disposal or waste minimization issues and to facilitate cooperation of parties and Basel Convention regional and coordinating centres with global, regional and bilateral funding institutions.

B.Presentation of the programme budget

  1. The programme budget is organized in sections that reflect the activities of the Secretariat based on the provisions of the Convention, along with the tasks undertaken by the Secretariat in accordance with the decisions of the Conference of the Parties. For each section, the legislative mandate, relevant objectives, indicators of achievement, activities and expected outputs are provided. Each section also contains an estimate of resources required for the implementation of related activities. The cost estimates cover both staff and non-staff items. The cost of staff members is shared between all activities to which they contribute. Nonstaff costs include consultants, contractual services, travel, meetings, workshops and publications. Operational expenses such as office maintenance costs, communications, supplies and computer equipment are shown separately. The sections are organized as follows:
  1. Conferences and meetings
  2. Programme and cross-cutting support

a)Legal support

b)Scientific and technical support

c)Support to Basel Convention regional and coordinating centres

d)Crosscutting strategic issues

  1. Technical assistance and capacitybuilding

a)Partnerships

b)Priority waste streams

  1. Electrical and electronic wastes in Africa, Asia and the Pacific, Latin America and countries with economies in transition
  2. Persistent organic pollutant wastes and other hazardous substances wastes
  3. Dismantling of ships
  4. Mercury wastes

c)Implementation of tools for strengthening the legal system, enforcement and competent authorities at the regional and national levels in ways relevant to the Basel Convention

d)Joint technical assistance and capacitybuilding programmes with the Rotterdam and Stockholm Conventions

  1. Knowledge management and outreach

a)Management and circulation of information submitted by parties in accordance with their obligations under the Convention

b)Publications, public information, outreach and clearinghouse mechanism

  1. Executive direction, management and strategic planning
  2. Office equipment and services
  1. The proposed programme of work for the biennium 2012–2013 includes joint activities between the Basel, Rotterdam and Stockholm conventions that were prepared by the three secretariats on the basis of proposals from inter-secretariat thematic groups that were established to develop and implement joint activities as stipulated in decisions IX/10 and BC.Ex-1/1.

C.Draft programme budget based on maintaining the average annual operational budget at the 2009–2011 level in real terms

  1. The draft programme budget set out in the present note in accordance with decision IX/31 takes into account the Secretariat’s functions described in section A above, namely, core functions (meetings, coordination and information management); support services (for example, legal and technical support, resource mobilization, outreach and public relations); and the programme of support for the implementation of the Convention, which is structured in accordance with expressed country needs and is consistent with the elements of the synergies decisions. This scenario, presented in Annex 1, is based on the option of maintaining core and programme support activities at the current level and retaining the current structure and number of meetings. The total programme resources required under this scenario for the biennium 2012–2013, including programme support costs, amount to $20,534,032, of which $9,926,496 is proposed to be financed from the BC Trust Fund through assessed contributions by the parties and $10,607,536 from voluntary contributions of the parties and other donors through the BD Trust Fund. This scenario implies an increase of 12.4 per cent in the average BC Trust Fund budget for the biennium 2012–2013 and, compared to 2011, an average increase of 4.3 per cent per year in contributions by parties, as shown in annex 2b.
  2. The primary reasons for the increase are as follows:

(i) Application of the 2011 standard staff costs for the Geneva duty station, adjusted for inflation, in accordance with the United Nations budget policy: the 2011 costs were increased by 4 per cent to calculate the staff costs for 2012 and the resulting 2012 costs were then increased by a further 4 per cent to calculate the 2013 staff costs. Annex 4 shows these standard figures as compared to the staff costs used in the preparation of the Secretariat’s budget for the biennium 2009–2011. It is to be noted that the difference between the estimates made in 2008 for 2009–2011 and those currently predicted for 2012–2013 are substantial owing to the continuing devaluation of the United States dollar against the Swiss franc. The bulk of the increase in the budget is caused by this;

(ii)Adjustments in costs of services for organizing meetings of the Conference of the Parties and the Open-ended Working Group;

(iii)Adjustmentsof travel costs and number of trips of members of subsidiary bodies in relation to meetings thereof;

(iv)The transition from a three-year budget cycle to a two-year budget cycle.

  1. All figures in the tables are given in United States dollars, unless otherwise stated.

II.Proposed action

  1. The Conference of the Parties may wish to consider adopting a decision along the following lines:

The Conference of the Parties,

Recalling its decision IX/31 and decision OEWGVII/17 on financial matters,

Taking note ofthe financial reports on the Basel Convention trust funds for 2010 and estimated expenditures for 2011 from the Trust Fund for the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal (Basel Convention Trust Fund);[1]

1.Approves the programme budget for the Basel Convention Trust Fund in the amount of [] United States dollars for 2012 [and] [] dollars for 2013 for the purposes set out in table [] of the present decision;

2.Also approves the staffing of the Convention Secretariat for the programme budget as set out in table [] of the present decision;

[Decides on an exceptional basis not to approve a staffing table but instead to take note of the indicative staffing table for the Convention Secretariat for the biennium 2012–2013 that has been used for costing purposes to set the overall budget;[2]

Authorizes the Executive Secretary 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 to determine the staffing levels, numbers and structure of the Secretariat in a flexible manner, provided that the Executive Secretary remains within the overall budget for the biennium 2012–2013];

3.Decides that the total amount of the contributions to be paid by the parties is [ ] dollars for 2012 and] [ ] dollars for 2013, as set out in table [ ] of the present decision;

4.Requests the Executive Secretary to maintain the level of the working capital reserve at 15percent of the average biennial operational budgets for 2012–2013;

5.Decides that the Executive Secretary may make transfers of up to 20percent from one main appropriation line of the approved budget to other main appropriation lines;

6.Reaffirms paragraphs 8, 9, 11 and 12 of decision IX/31;

7.Takes note of the programme budget for the Trust Fund to Assist Developing Countries and other Countries in Need of Technical Assistance in the Implementation of the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal (Technical Cooperation Trust Fund) in the amount of [ ] dollars for 2012 [,] [and] [ ] dollars for 2013 as set out in table [ ] of the present decision;

8.Invites parties, non-parties and others to make voluntary contributions to the two trust funds;

9. Also invites parties, non-parties and other stakeholders to contribute financially and with other means to the implementation of the activities and related projects and encouragesparties and non-parties to submit such projects for consideration by appropriate funding agencies;

10.Requests parties to notify the Secretariat of all contributions made to the two trust funds at the time that such payments are made;

11.Decides that the two trust funds shall be continued until 31 December 2013 and requests the Executive Director of the United Nations Environment Programme to extend them to 2012–2013, subject to the approval of the Governing Council of the United Nations Environment Programme;

12.Requests the Secretariat to report annually to the Open-ended Working Group and to the Expanded Bureau on all sources of income received, including the reserve and fund balances and interest, together with actual, provisional and projected expenditures and commitments, and requests the Executive Secretary to report on all expenditures against the agreed budget lines;

13.Requeststhe Executive Secretary to prepare a budget for the biennium 2014–2015 for consideration by the Conference of the Parties at its eleventh meeting and to explain the key principles and assumptions on which the budget is based;

14.Notes the need to facilitate priority-setting by providing parties with timely information on the financial consequences of various options and to that end requests the Executive Secretary to include in the proposed programme budget for the biennium 2014–2015 two alternatives based on:

(a)The Executive Secretary’s assessment of the required rate of growth of the programme budget;

(b)Maintaining the operational budget at the 2012–2013 level in real terms;

15.Requests the Executive Director to request an audit by the Office of Internal Oversight Services on coordination and cooperation among the Basel, Rotterdam and Stockholm conventions and to present the report of that audit to the Conference of the Parties for consideration at its eleventh meeting.

List of annexes

Annex IProgramme budget for 2012–2013 based on maintaining the average annual operational budget at the 2009–2011 level in real terms

A.Programme budget for 2012–2013 based on maintaining the average annual operational budget at the 2009–2011 level in real terms: summary table of costs and requirements

B.Programme budget for 2012–2013 funded from the Basel Convention Trust Fund based on maintaining the average annual operational budget at the
2009–2011 level in real terms

C.Trust Fund for the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal: scale of contributions for 2012–2013 for the programme budget scenario based on maintaining the average annual operational budget at the 2009–2011 level in real terms

Annex IIStandard figures used in calculating staff costs for 2012–2013

Annex IIIStaffing table for the Secretariat for the biennium 2012–2013

Annex IVComparison of the programme budget for 2012–2013 and the programme budget for 2009–2011(non-staff costs of activities)

1

UNEP/CHW.10/23

Annex I

Programme budget for 2012–2013 based on maintaining the average annual operational budget at the
2009–2011 level in real terms

I.Conferences and meetings

Mandate

The Secretariat's functions as mandated by Article 16 of the Convention, the rules of procedure and subsequent decisions of the Conference of the Parties, including decisions IX/10, on cooperation and coordination among the Basel, Rotterdam and Stockholm conventions, and BC.Ex-1/1, omnibus decision adopted by the Conference of the Parties to the Basel Convention.

Objectives

To ensure effective preparation, delivery and followup of meetings of the Conference of the Parties and its subsidiary bodies.

Indicators of achievement

1. Adequate meeting facilities and services are provided.

2. Percentage of working documents that are made available to parties in all working languages within deadlines.

3. Interpretation services are provided for percentage of plenary sessions of the Conference of the Parties and meetings of subsidiary bodies.

4. Adequate participation of representatives from developing countries and countries with economies in transition is ensured at meetings (subject to the availability of funding).

Activity No.* / Activities / Expected outputs / Method of implementation internal/external / 2012 / Source of funding / 2013 / Source of funding
Staff
costs / Non-staff costs / Total costs / BC Trust Fund / BD Trust Fund / Staff
costs / Non-staff costs / Total costs / BC Trust Fund / BD Trust Fund
1 / Organize and support the eleventh meeting of the Conference of the Parties: conclude host country agreement; liaise with and assist the host country; prepare, translate and publish all related documents; support the Chair before and during the meeting; provide logistical support including interpretation, travel of participants, security; support the Conference and its working groups during and between meetings.
Duration: 5 days.
Organize an extraordinary meeting of the Conference of the Parties, to be held simultaneously with extraordinary meetings of the conferences of the parties to the Rotterdam and Stockholm conventions. / Successfully organized meeting of the Conference of the Parties; documentation for the meeting in the six official languages of the United Nations / Internal (funds for salaries/travel of conference staff, translation, logistics, temporary assistance ($715,000) and participation of sponsored delegates at eleventh meeting of the Conference of the Parties ($600,000)). / 44 601 / 80 000 / 124 601 / 124 601 / — / 460 137 / 1 235 000 / 1 695 137 / 1 095 137 / 600 000
2 / Organize and support the eighth session of the Openended Working Group; prepare, translate and publish all related documents, support the CoChairs before and during the meeting; provide logistical support including interpretation, travel of participants, security; support the Open-ended Working group and its working groups during and between meetings.
Duration: 5 days. / Successfully organized sessions of the Open-ended Working Group; documentation for the meeting in the six official languages of the United Nations. / Internal (funds for salaries/travel of conference staff, translation, logistics, temporary assistance ($542,000) and participation of sponsored delegates ($600,000)). / 376 430 / 1 152 000 / 1 528 430 / 928 430 / 600 000 / — / — / — / — / —
3 / Organize the logistics and documentation for meetings of the Expanded Bureau and one joint Bureau meeting in 2013: prepare and publish all related documents. / Successfully organized meetings of the Expanded Bureau and Joint Bureau; documentation for meetings in English only. / Internal (funds for travel of the members of the Expanded Bureau ($45,100) and the members of the Bureau to a joint Bureau meeting in 2013 ($18,500)). / 42 817 / — / 42 817 / 42 817 / — / 100 191 / 63 600 / 163 791 / 163 791 / —
4 / Organize the logistics and documentation for meetings of the Implementation and Compliance Committee; prepare and publish related documents. / Successfully organized meetings of the Implementation and Compliance Committee; documentation for meetings in English only. / Internal (funds for travel of the members of the Implementation and Compliance Committee ($49,200), funds for travel of 5 parties that are the subject of a submission ($16,000)). / 17 840 / — / 17 840 / 17 840 / — / 89 059 / 65 200 / 154 259 / 138 259 / 16 000
5 (S6) / Support the work of and coordination between the scientific bodies of the conventions and identify common issues and linkages between the conventions by working with relevant scientific experts to tackle common issues that have a negative impact on the effective functioning of the scientific bodies, studying and reviewing linkages between conventions and identifying crosscutting technical issues for 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; identification of hot spots of hazardous chemicals, wastes and other environmental occurrences; convention linkages with biodiversity and land degradation, among others,
with clearing-house mechanism, establish database of roster of experts relevant to the technical and scientific bodies of the three conventions; an “alumni website” of participants in meetings, training and awarenessraising workshops and develop joint scientific and technical documents or guidance materials as required. / Technical and scientific bodies of the three conventions receive technical and policy support, facilitating the exchange and sharing of relevant information between them and with other relevant intergovernmental organizations, including the Strategic Approach; and ensuring the effectiveness of the work of the Chemical Review Committee, the Persistent Organic Pollutants Review Committee and other technical committees. / Internal (staff travel ($6,000), consultants for review of linkages, development of websites and development or updating of technical guidance material ($13,300), subcontracts ($7,000), participants’ travel ($14,000) and translation and printing of guidance material ($3,000)). / 51 737 / 21 650 / 73 387 / 58 387 / 15 000 / 53 806 / 21 650 / 75 456 / 60 456 / 15 000
Proposed cofunding by the three conventions: Basel: BCTF: $6,650 and BDTF: $15,000 peryear; Rotterdam: RO: $6,650 and RV: $25,000 per year; Stockholm: SC: $7,700 and SV: $25,000 per year; total $20,000 and $65,000 per year.
Subtotal / 533 424 / 1 253 650 / 1 787 074 / 1 172 074 / 615 000 / 703 193 / 1 385 450 / 2 088 643 / 1 457 643 / 631 000

II.Programme and crosscutting-support