Marine Litter and Microplastics: Promoting the Environmentally

BASEL, ROTTERDAM AND STOCKHOLM CONVENTIONS

Project Title: Marine litter and microplastics: promoting the environmentally sound management of plastic wastes and achieving the prevention and minimization of the generation of plastic wastes

Project objective and executive summary Marine plastic litter is an environmental problem occurring on a global scale today. The ubiquitous transboundary movement of marine plastics and microplastics is becoming a major concern as their property of durability makes their debris remain intact for long period of time throughout the ocean. United Nations Environment Assembly at its third session called for increased action by relevant international and regional organizations and conventions, including among others, the Basel and Stockholm Conventions, to prevent and reduce marine litter and microplastics and their harmful effects. Capacity building in waste management is an area where much more effort needs to be mobilized. Many regions have identified marine litter as a problem, but the overriding issue remains the absence of, or poorly developed, waste management systems in large parts of the world. The objectives of the project are tightly aligned with those of the Norwegian Development Assistance Programme against marine litter and microplastics: Impact–Prevent and significantly reduce marine litter and microplastics from sources in partner countries; Outcomes– Infrastructure and systems for waste management, including material recycling, for waste from land-based activities in partner countries are improved; Global commitments and national and regional instruments to prevent marine litter and microplastics are strengthened. The Basel Convention covers many of the issues which are at the heart of reducing marine pollution from plastics, i.e. (1) the control of the transboundary movements (TBM) of wastes, (2) environmentally sound management (ESM) of wastes and (3) prevention and minimization of the generation of wastes. The activities of the current project are structures within those three thematic areas. The project will benefit countries that are eligible to receive ODA and are either considered as major sources of marine litter or particular vulnerable to it: Bangladesh and Ghana. The methodologies, strategies, tools and guidance developed and best practices and technologies compiled through the project can be applied to other countries in the region or with similar geographical or socio-economic background.

Signatures Name of Director: Approval Signature Date: 19/December /2018

Rolph Payet

Table of Contents 1. Background and justification of the project ...... 3 1.1 Background and key areas of focus of the project ...... 3 1.2 Relevance to the Basel, Rotterdam and Stockholm conventions ...... 4 Quick facts about the Basel, Rotterdam and Stockholm Conventions ...... 4 Quick facts about the Secretariat of the Basel, Rotterdam and Stockholm conventions and its technical assistance activities ...... 4 Why does BRS work on marine litter and microplastics? ...... 5 1.3 Implementing and contributing partners in the project ...... 6 1.4 Relevance to regional or national priorities and Norwegian ODA ...... 7 2. Planned impact, outcomes and outputs of the project ...... 8 2.1 Theory of change ...... 8 Diagram: Theory of change ...... 11 2.2 Results framework ...... 12 Table: Results framework ...... 12 3. Description of activities, partners and time frame ...... 19 3.1 Description of activities ...... 19 Component 1: Controlling the transboundary movements (TBM) of plastic wastes ...... 19 Component 2: Ensuring the environmentally sound management (ESM) of plastic wastes ...... 21 Component 3: Tackling source ...... 23 3.2 Workplan ...... 27 4. Communication plan ...... 32 5. Budget and organization ...... 33 5.1 Budget ...... 33 5.2 Existing income sources ...... 33 5.3 Possibilities for donors to earmark funds to certain components in the project ...... 33 6. Reporting system, monitoring, evaluation and financial follow-up ...... 34 7. Risk analysis ...... 35 Cross sectional risks on human rights, women’s rights and gender equality, climate change and environment, anti-corruption ...... 35 Climate change impacts ...... 37 Gender mainstreaming and a human rights-based approach ...... 37 Preventing corruption ...... 37 Economic sustainability ...... 38 Post-project sustainability ...... 38 8. Coordination and alignment with other major actors and initiatives within marine litter and microplastic in the geographical area of the project ...... 39

1. Background and justification of the project

1.1 Background and key areas of focus of the project Marine plastic litter is an environmental problem occurring on a global scale today. The ubiquitous transboundary movement of marine plastics and microplastics is becoming a major concern as their property of durability makes their debris remain intact for long period of time throughout the ocean. Over the last ten years we have produced more plastic than during the whole of the last century. Plastic accounts for around 10 percent of the total waste generated. Plastic constitutes approximately 90 percent of all trash floating on the ocean's surface, with 46,000 pieces of plastic per square mile. There is considerable international trade both in plastics and plastic waste. The greatest burden of plastic waste entering the sea is likely to arise where waste collection systems are ineffective or even non-existent. Developing countries in particular may face challenges in managing the rapidly growing volume of plastic waste. Developed countries may face challenges if they have not developed sufficient capacity to dispose of plastic waste and rely on the continued availability of recycling capacity in other States. Sustainable Development Goal Target 14.1 called for significantly reducing marine debris, plastics and microplastics. Yet there are considerable knowledge and data gaps and the special needs of some developing countries in dealing with land-based sources of marine litter and adequate waste management infrastructure. While the issue typically is an “end-of-pipe” problem, steps promoting prevention, reduction, reuse, recycling and restriction of certain plastics are important. Pollution by marine plastic litter and microplastics needs to be tackled at source – it is not sustainable to clean up plastic pollution once it has entered the sea. United Nations Environment Assembly (UNEA) has underlined that preventive action through waste minimization and environmentally sound management (ESM) of waste should be given the highest priority. International cooperation crucial in addressing marine litter and microplastics. Instruments and approaches particularly important to cooperate include the United Nations Convention on the Law of the Sea, the International Convention for the Prevention of Pollution from Ships (MARPOL), the various Regional Seas Conventions, the UNEP Global Programme of Action for the Protection of the Marine Environment from Land-based Activities and the Global Partnership on Marine Litter, as well as the UNEP special Programme and Strategic Approach to International Chemicals Management (SAICM). Bodies such as GESAMP provide scientific support. Cooperation with organizations with a mandate to enforce environmental law, such as the World Customs Organization and INTERPOL, is also key to ensuring that efforts to control international trade in plastic wastes and to prevent illegal traffic in such wastes are mutually reinforcing. In its resolution 3/7, UNEA encouraged all member States to “develop and implement action plans for preventing marine litter and microplastics, encouraging resource efficiency, including prevention and increasing collection and recycling rates of plastic waste and re-design and re-use of products, materials and avoiding the unnecessary use of plastic and plastic containing chemicals of particular concern where appropriate”. As GESAMP concluded, the overarching need is for plastic and its value to be kept within the economy and out of the seas, via life-cycle approach. This will help avoid the costs of their impacts on health, environment, society and the economy. Increasing the extent and improving the quality of waste management is one of the most important immediate steps toward reducing inputs of debris to the ocean, particularly in developing countries.

The current project focuses on the following three components: building capacities to addressing (1) transboundary movements of plastic wastes (plastics in global trade); (2) environmentally sound management of plastic wastes and (3) tackling source (prevention and minimization of the generation of plastic wastes) including through behavioral change towards sustainable consumption and production.

1.2 Relevance to the Basel, Rotterdam and Stockholm conventions

Quick facts about the Basel, Rotterdam and Stockholm Conventions The Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal is a multilateral environmental agreement with almost universal membership (187 Parties as of 2018) designed to reduce the transboundary movements (TBM) of hazardous wastes. The Convention is also intended to minimize the amount and toxicity of wastes generated, to ensure their environmentally sound management (ESM) as closely as possible to the source of generation, and to assist developing countries in environmentally sound management of the hazardous and other wastes they generate (Entry into force: 5 May 1992; 187 Parties as of 3 December 2018).1 The Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade promotes shared responsibilities in relation to importation of hazardous chemicals. The Convention promotes open exchange of information and calls on exporters of hazardous chemicals to use proper labeling, include directions on safe handling, and inform purchasers of any known restrictions or bans (Entry into force: 24 February 2004; 161 Parties as of 3 December 2018).2 The Stockholm Convention on Persistent Organic Pollutants (POPs) is a global treaty to protect human health and the environment from highly dangerous, long-lasting chemicals by restricting and ultimately eliminating their production, use, trade, release and storage. The Convention convers 28 POPs, including those used as additives of plastics (e.g. plasticizers, flame retardants, coating). In the environment, plastics are known to adsorb or absorb POPs such as PCBs and dioxins and those are frequently detected in marine plastics (Entry into force: 17 May 2004; 182 Parties as of 3 December 2018).3

Quick facts about the Secretariat of the Basel, Rotterdam and Stockholm conventions and its technical assistance activities The conferences of the Parties to the Basel, Rotterdam and Stockholm (BRS) conventions have taken a series of decisions (so called “synergies decisions”) to strengthen the implementation of the three conventions at the national, regional and global levels by providing coherent policy guidance, enhancing efficiency in the provision of support to Parties to the conventions, reducing their administrative burden and maximizing the effective and efficient use of resources at all levels, while maintaining the legal autonomy of these three multilateral environmental agreements. As a result of those synergies decisions, in 2012, the Secretariats of the Basel and Stockholm conventions, as well as the UNEP-part of the Rotterdam Convention Secretariat, moved from three separate secretariats with a programmatic structure to a single Secretariat with a matrix structure serving the three conventions.4

1 http://www.basel.int/Countries/StatusofRatifications/tabid/1341/Default.aspx. 2 http://www.pic.int/Countries/Statusofratifications/tabid/1072/language/en-US/Default.aspx. 3 http://chm.pops.int/Countries/StatusofRatifications/PartiesandSignatoires/tabid/4500/Default.aspx. 4 http://www.brsmeas.org/Secretariat/Overview/tabid/3609/language/en-US/Default.aspx. 4

The mandates of the Secretariats are laid out in Article 16 of the Basel Convention, Article 20 of the Rotterdam Convention and Article 19 of the Stockholm Convention. The principal functions are: (1) to prepare for and service meetings of the conferences of the Parties and its subsidiary bodies, (2) to receive and convey information, (3) to assist or facilitate assistance to Parties upon request and (4) to coordinate with other international bodies. At their meetings in 2017, the conferences of the Parties to the BRS conventions welcomed the technical assistance plan for the implementation of the three conventions for the period 2018–2021 (BRS TA Plan)5 and requested the Secretariat, subject to the availability of resources, to implement it in cooperation with relevant actors striving to attract the programming capacity and financial resources of relevant international organization. The current project will be implemented as part of the BRS TA Plan.

Why does BRS work on marine litter and microplastics? As mentioned above, resolution 3/7 of UNEA-3 on marine litter and microplastics called on international and regional organizations and conventions including, among others, the Basel Convention and the Stockholm Convention, as appropriate within their mandates, to increase their action to prevent and reduce marine litter and microplastics and their harmful effects, and coordinate where appropriate to achieve this end. Capacity building in waste management is an area where much more effort needs to be mobilized.6 Many regions have identified marine litter as a problem, but the overriding issue remains the absence of, or poorly developed, waste management systems in large parts of the world. The Basel Convention covers many of the issues which are at the heart of reducing marine pollution from plastics, i.e. (1) the control of transboundary movements (TBM) of wastes, (2) environmentally sound management (ESM) of wastes and (3) prevention and minimization of the generation of wastes. The current project will focus on those three thematic areas. The Basel Convention, as a legally binding instrument with almost universal membership, sets global framework and standards for the control of transboundary movements and environmentally sound management of wastes, which should be used by all Parties as well as by stakeholders interacting with Parties. In 2013, the Basel Convention adopted a framework for the ESM of hazardous wastes and other wastes.7 The framework identifies what countries should do at the national level and collectively to address the challenges of implementing ESM. Several guidelines, guidance, manuals, methodologies and strategies have been developed under the Basel Convention: • Technical guidelines for the identification and environmentally sound management of plastic wastes and for their disposal (UNEP/CHW.6/21) • Guidance to assist Parties in developing efficient strategies for achieving the prevention and minimization of the generation of hazardous and other wastes and their disposal (UNEP/CHW.13/INF/11) • Practical manuals for the promotion of the ESM (UNEP/CHW.13/4/Add.1)

5 UNEP/CHW.13/INF/36-UNEP/FAO/RC/COP.8/INF/26-UNEP/POPS/COP.8/INF/25. 6 UNGA resolution 60/30 on Oceans and the law of the sea, paragraph 12. 7 Decision BC-11/1. 5

• Guidance manual on how to improve the sea-land interface (UNEP/CHW.13/INF/37) • Practical manuals on extended producer responsibility and financing systems for ESM (UNEP/CHW.13/INF/8) • Guidance to assist Parties in developing efficient strategies for achieving recycling and recovery of hazardous and other wastes (to be considered at COP-14) • Guidance on how to address ESM in the informal sector (to be considered at COP-14) • ESM Toolkit8 • Guidance by Partnership for Action on Computing Equipment (PACE) and Mobile Phone Partnership Initiative (MPPI). Additionally, tools and methodologies for the inventory of hazardous and other wastes and for their ESM have been developed under the Basel Convention by the Implementation and Compliance Committee, and during a multi-year project undertaken in the South Asian region on the ESM of hazardous and other waste, with a particular focus on the waste generated during ship recycling. In line with already established framework and standards of the Basel Convention mentioned above, the current project will develop guidance, methodologies and strategies designed to address serious pollution by marine plastic litter and microplastics faced in developing countries. The guidance, methodologies and strategies developed through the current project should be used by other initiatives and organizations supporting countries to build their capacities in the control of transboundary movements; environmentally sound management; and prevention and minimization of the generation of plastic wastes.

1.3 Implementing and contributing partners in the project Regional delivery of BRS technical assistance is achieved through the work of the Basel and Stockholm Conventions Regional Centres, UNEP and FAO regional offices, FAO country representations, and other relevant organizations and agencies (e.g. UNDP, UNIDO) that carry out activities in support of the implementation of the conventions at the regional and national levels. The Regional Centres play a central role in the delivery of technical assistance and technology transfer at the national and regional levels. UNEP and FAO regional offices support Parties by integrating issues addressed by the Conventions into their projects and training programmes. In 2017, the conferences of the Parties to the Basel and Stockholm conventions invited the Regional Centres to work on the ESM of plastic wastes to prevent marine litter and microplastics. The activities undertaken by the Regional Centres, as of September 2018, are compiled in document UNEP/CHW/OEWG.11/INF/22/Add.1.9 The Regional Centres, UNEP and FAO regional offices, UNDP and UNIDO will be invited to be primary partners in the implementation of the current project. Partnerships promote the involvement and cooperation with partners as they have a multiplier effect for the implementation of the Basel, Rotterdam and Stockholm conventions. Through partnerships convention-specific issues are addressed within the work programmes of partners or in programmes of

8 http://www.basel.int/Implementation/CountryLedInitiative/EnvironmentallySoundManagement/ESMToolkit/Over view/tabid/5839/Default.aspx. 9 http://www.basel.int/Implementation/MarinePlasticLitterandMicroplastics/Activities/tabid/6070/Default.aspx. 6 mutual interest among several partners. For example, Partnership on Household Waste established by the Conference of the Parties to the Basel Convention in 2017 (decision BC-13/14) promotes the environmentally sound management of household wastes at the national, regional and global levels. In 2018, the Basel Convention Open-ended Working Group welcomed with appreciation the proposal submitted by the Government of Norway on the establishment of a Plastic Waste Partnership and recommended to the Conference of the Parties that it consider establishing a partnership under the Basel Convention on plastic wastes that also addresses marine plastic litter and microplastics. The current project will make use of the network of stakeholders, including industries, municipalities, civil societies and academia through Partnerships of the conventions. Streamlining Basel Convention guidance in the work of partners: Through the implementation of the project, the Secretariat will aim at ensuring that the awareness of the partners is raised about existing guidance relevant to the control of transboundary movements of plastic wastes and the environmentally sound management of plastic wastes, so that, in turn, partners use such guidance and any lessons learned from the project in their own activities. The Secretariat already has cooperative agreements with a number of the partners (e.g. WCO, INTERPOL, IMPEL) and will build on these to expand the reach of the guidance developed under the Convention as well as of the lessons from this project.

1.4 Relevance to regional or national priorities and Norwegian ODA The project will benefit countries that are eligible to receive official development assistance as determined by the OECD Development Assistance Committee. The following countries have been identified as target countries: Bangladesh and Ghana. The current project on marine litter and microplastics is highly relevant to those countries, as those are considered as major sources of and/or particularly vulnerable to marine litter. Current research indicates that the largest source of leakage of plastic items into the oceans is from a small number of Asian countries, which account for over 80% of marine litter. These include Bangladesh, China, Indonesia, Malaysia, Philippines, Sri Lanka, Thailand and Vietnam. Across Asia, trash is often piled up in communal dumps where stray bits are swept up by the wind and cast into the ocean. For example, in Bangladesh, the capital city Dhaka and the port city of Chittagong, the two largest cities in the country, not only lack the systems for the proper collection, transport and sorting of municipal waste, but also lack the adequate downstream infrastructure for its proper recycling and disposal. As such, the Bay of Bengal has been identified as one the global hotspots for marine litter. Waste management regulations are in force in Bangladesh, but the country lacks the institutional capacity to ensure their effective implementation and enforcement. Following a joint IMO-BRS project which was finalized in 2017, the Government of Bangladesh is taking steps to establish hazardous waste infrastructure in the port city of Chittagong to manage industrial hazardous waste in an environmentally sound manner. However, systems and infrastructure for the ESM of municipal waste, including plastic waste, are noticeably lacking. Large coastal municipalities in other regions also face similar challenges, with different cultural, socio- economic and geographical influence. According to the World Bank Urban Development Series report, Africa produces about 70 million tons of waste which is expected to increase with population growth. Marine plastic litter and microplastics disproportionately impact small island developing states (SIDS), affecting food security, fishing, tourism and people’s health. A study by the Swedish Institute for the Marine Environment (2017) reports that in places where people lack food, clean water, shelter, etc., these basic human needs are of immediate priority. In the long-term marine litter might become a vital

7 human problem and should be combated, but not at the expense of other development goals. However, several measures for marine litter mitigation foster other goals as well, so positive synergies can occur. The methodologies, strategies, tools and guidance developed and best practices and technologies compiled through the project can be applied to other countries in the region or with similar geographical or socio-economic background.

2. Planned impact, outcomes and outputs of the project

2.1 Theory of change As shown in the diagram in page 11, underpinned by a results framework presented from page 12, the theory of change of this project is as follows. The planned impact of the project is fully aligned with that of the Norwegian Development Assistance Programme: “Prevent and significantly reduce marine litter and microplastics from sources in partner countries”. In order to significantly reduce marine litter and microplastics from source, infrastructure and systems for waste management (including material recycling) for waste from land-based activities must be improved (outcome A); selected coastal areas and rivers are cleared of waste and the waste is properly managed (outcome B); private sector’s performance with regard to sustainable production and use, and responsible waste management is improved (outcome C); and global commitments and national and regional instruments to prevent marine litter and microplastics are strengthened (outcome D). Outcome A contributes to the planned impact by putting in place infrastructure and systems for waste management. This would be achieved through strengthening national capacities for controlling the transboundary movements (TBM) of plastic wastes (component 1) and strengthening national capacities for ensuring the environmentally sound management (ESM) of plastic wastes (component 2). Controlling the TBM of wastes and ensuring the ESM of waste are the main pillars of the Basel Convention. For this outcome to be successful, the project assumes that individual, institutional and systemic capacities are strengthened. Outcome B contributes to the planned impact by applying the proper infrastructure and systems for waste management. In this project, pilot testing of the tools and national strategy for ESM of plastic wastes developed under component 2 contributes to clearing of selected coastal areas and proper waste management. The project assumes that proper and sustainable waste management is implemented in the selected coastal areas. Since the project will not clean up coastal areas or rivers, the outcome will be limited or will take time to show changes. Outcomes C and D relates to tackling source (component 3). Outcome C will have strengthened engagement of private sectors in reducing and managing plastic waste. Outcome D contributes by enhanced global/regional/national efforts for the prevention of plastic wastes. For these outcomes to be successful, the project assumes that the private sector is committed to address marine litter and microplastics; project’s research into best practices and recommendations is taken up and applied at the national and regional level as well as by private sectors and public. The changes will be limited if the private sector is not effectively incentivized to contribute to the prevention of plastic wastes and align corporate strategies. Partnership approach could be embraced to widen the impact. While plastic pollution needs to be addressed at the policy level, the role of the private sector is crucial in spearheading sustainable solutions. All activities under this project, where appropriate, will engage private sector, including through partnerships, to keep them informed and included in national

8 consultations; collect and promote best practices; and incentivize their contributions towards sustainable production and use. Controlling the TBM of plastic wastes (component 1) covers global trade of plastic wastes. In recent years, a range of concerns have been expressed about the plastic wastes in trade, in particular the challenges faced when receiving contaminated or unsorted plastic wastes. Other concerns have focused on how the international trade of plastic wastes disrupts the domestic plastic market and has led to an increase of informal recyclers. To address those concerns, institutional and legal structures for the control of the import/export of plastic wastes and capacity to enforce relevant regulatory regime needs to be improved (output 1). In the delivery of output 3, the project assumes that target countries commit and/or secure resources necessary to develop strategies, action plans and inventories. The activities under output 1 include: (1) review and provide support to adjust national legal and institutional framework to ensure sound legal basis to implement and enforce the control regime of the Basel Convention, in particular with respect to the TBM of plastic wastes; (2) develop national inventories of the import and export of plastic wastes, establish sustainable mechanisms to update inventories and to report relevant information in the Basel Convention national reporting format; (3) promote effective control of transboundary movement of plastic waste and build capacity to prevent cases of illegal traffic. For those activities to be carried out successfully, political will and commitment to build national capacities for improving plastic waste management is needed. Ensuring the ESM of plastic wastes (component 2) covers all actions in relation to waste which have the potential to harm the environment and human health, if not properly managed (collect, dispose, eventually store, and recover wastes). To develop national capacities to ensure ESM of plastic wastes, target countries needs to have: capacity built to develop and implement a national strategy for the ESM of plastic wastes (output 2); institutional and legal structures for the ESM of plastic wastes and capacity to enforce relevant regulatory regime improved (output 3). For those outputs to be successfully delivered, political will and commitment to build national capacities for improving plastic waste management needs to exist. The activities under outputs 2 and 3 include: (1) development of inventory toolkit and capacity building to use the toolkit and develop a strategy for the ESM of plastic wastes; (2) development of a national inventory of plastic wastes and a national strategy for the ESM of plastic wastes in target countries; (3) development of recommendations for infrastructure requirements for the downstream management of plastic wastes and for a sustainable system for the collection scheme of plastic wastes and pilot of the scheme with informal sector; (4) review and strengthening of national legal and institutional framework to ensure the ESM of plastic waste. Tackling source of plastic wastes (component 3) involves land-based and sea-based sources of marine litter and microplastics. In order to prevent and minimize the generation of plastic wastes from various source, target countries need to have life cycle approach to plastic products, reducing hazardous additives, switching material promoted (output 4). For this output, activities will be undertaken to collect best practices and technologies, develop strategies and pilot test them for awareness raising and ESM of plastic wastes from (1) packaging sector; (2) fishing sector; and (3) waste water sector. Packaging sector is the main land-based source and fishing sector is the main sea-based source. Waste water sector is the main source for intentionally added micro and nano plastics. Furthermore, target countries need to have commitments made in multinational/ multi-stakeholder fora towards enhancing ESM and reduction of hazardous constituents of plastic wastes (output 5). This involves engaging governments, industry associations, civil society, academia to promote the need for strengthening waste management at the national, regional and global level and reducing hazardous constituents of plastic wastes.

Lastly, target countries need to have educational and awareness measures on marine litter and microplastics strengthened (output 6) aiming at changing public behaviors. The project will develop and disseminate, including through school curricula, educational and outreach materials targeted to specific interest groups and range of ages to promote behavioral change towards sustainable consumption. For outputs 4, 5, and 6, the project assumes that promotional strategy developed under the project are implemented effectively with the involvement of private sector. For each activity under those outputs to be successful, the project assumes that sufficient number of best practices can be identified to justify development and delivery of promotional strategy.

Diagram: Theory of change

Prevent and significantly reduce marine litter and microplastics from

IMPACT sources in partner countries

C. Private sector’s D. Global commitments A. Infrastructure and B. Selected coastal performance with regard and national and regional systems for waste areas and rivers are to sustainable production instruments to prevent management for waste from cleared of waste and use, and responsible marine litter and land-based activities in and the waste is waste management is microplastics are partner countries are properly managed OUTCOMES improved improved strengthened

Assumption: Proper and Assumption: Individual, Assumption: Private sector is Assumption: Project’s research into sustainable waste institutional and systemic committed to address marine best practices is taken up and management is implemented. capacities fully strengthened litter and microplastics applied at the national/regional level Outcome will be imited

COMPONENT 3 COMPONENT 1 COMPONENT 2 (Controlling TBM of plastic wastes) (Ensuring ESM of plastic wastes) (Tackling source of plastic wastes)

Output 2: Capacity built to develop Output 4: Life cycle approach to plastic

and implement a national strategy products, reducing hazardous additives, switching material promoted Output 1: Institutional and legal for the ESM of plastic wastes structures for the control of the import/export of plastic wastes and capacity to enforce relevant Output 3: institutional and legal Output 5: Commitments made in multinational/ multi-stakeholder fora OUTPUTS regulatory regime needs to be structures for the ESM of plastic improved wastes and capacity to enforce towards enhancing ESM and reduction of relevant regulatory regime hazardous constituents of plastic wastes improved Output 6: Educational and awareness measures on marine litter and Assumption: Participating countries commit and/or secure resources necessary to deliver strategies, action plans, inventories; microplastics strengthened Pilot testing of tools and methodologies implemented effectively

Assumption: Promotional strategy implemented effectively with the involvement of private sector

Private sector engaged in all activities, including through Partnerships, where appropriate

Legal/infrastructures National ESM strategies Educational and outreach Stakeholder strengthened implemented (pilot test) materials/behavioral change commitments

National inventory and Toolkit/methodology for Collect best practices, develop Pilot test ESM strategies inventory developed promotional strategies and promotional established knowledge products strategies

ACTIVITIES Capacity-building: development of tools and methodologies, provision of expert advice and training, Involvement of private sector and partners from facilitation of national consultations, recommendations packaging sector, fishing sector and waste water sector

Assumption: Political will and commitment exists to build national Assumption: Sufficient number of best practices can be identified capacities for improving plastic waste management to justify development and delivery of promotional11 strategy

2.2 Results framework

Table: Results framework Results Indicator Targets Means of verification Activities Responsible Impact: # of outcomes of At least two outcomes of Prevent and significantly Norwegian Development Norwegian Development Report of project monitoring reduce marine litter and Assistance Programme Assistance Programme and evaluation microplastics from sources achieved achieved in partner countries Outcome A: Infrastructure and systems for waste management (including material # of outputs of the current Report of project monitoring All outputs achieved recycling) for waste from project achieved and evaluation land-based activities in partner countries are improved Outcome B: Selected coastal areas and # of pilot test of ESM At least one pilot test rivers are cleared of waste strategy/collection scheme Report of pilot test implemented and the waste is properly implemented managed Component 1: Controlling the transboundary movements (TBM) of plastic wastes Output 1: # of countries adopted At least one country Regulation and draft Activity 1-1: Review and Implementation: Institutional and legal regulation or transmitted adopts regulation legislation of target provide support to Secretariat supported by structures for the control of draft legislation to the transmits draft legislation country(ies) adjust national legal and experts, regional centres the import/export of plastic legislative branch to the legislative branch institutional framework Target country(ies) – wastes and capacity to for adoption to ensure sound legal competent authorities, enforce relevant regulatory basis to implement and customs regime improved enforce the control regime of the Basel Contribution: legislative Convention, in particular branch of target with respect to the TBM country(ies) of plastic wastes

Results Indicator Targets Means of verification Activities Responsible # of assessment At least one assessment of Assessment of existing steps Activity 1-2: Develop Implementation: undertaken to review existing steps to develop made available on the Basel national Inventories of Secretariat supported by existing steps to develop an an inventory of Convention website the import and export of experts, regional centres inventory of imported/exported plastic plastic wastes, establish Target country(ies) – imported/exported plastic waste undertaken sustainable mechanisms competent authorities, wastes to update inventories customs, and to report relevant # of methodology for At least one methodology Methodology for inventory information in the Basel Contribution: plastic waste inventory of for inventory of made available on the Basel Convention national generators, exporters, imported/exported plastic imported/exported plastic Convention website reporting format importers and disposers of wastes developed wastes developed target country(ies) # of countries developed At least one country Basel Convention national inventory of develop inventory of reports transmitted to the imported/exported plastic imported/exported plastic Secretariat wastes using the wastes using the methodology and methodology and transmitted national transmitted national reports containing reports containing information on TBM of information on TBM of plastic wastes plastic wastes # of training modules on At least one training Training curricula of national Activity 1-3: Promote Implementation: the international modules developed and customs effective control of Secretariat supported by trade/TBM of plastic included in the national transboundary experts, regional centres wastes developed and Customs training curricula movement of plastic Target country(ies) – included in the national waste and build capacity competent authorities, Customs training curricula to prevent cases of Customs illegal traffic # of training activities on At least one training Report of the training effective control of TBM of activity undertaken activities plastic wastes and completing the national report with information in Table 9 undertaken Component 2: Ensuring the environmentally sound management (ESM) of plastic wastes Output 2: Timing of inventory toolkit Inventory toolkit is Inventory toolkit made Activity 2-1: Develop Implementation: Capacity built to develop developed developed latest by available on the Basel inventory toolkit and Secretariat supported by and implement a national September 2019 (co- Convention website build capacity to use the experts, regional centres strategy for the ESM of financed by Sweden: USD toolkit and develop a plastic wastes 10,000)

Results Indicator Targets Means of verification Activities Responsible # of training activities to At least 3 training Report of the training strategy for the ESM of Target country(ies) – use the inventory toolkit activities to use the activities plastic wastes competent authorities, and to develop a strategy inventory toolkit and to lead ministries for the ESM of plastic develop a strategy for the wastes undertaken ESM of plastic wastes undertaken (co-financed by Sweden: USD 160,000 for organizing 2 workshops) # of best practices for At least 5 best practices Compilation of best practices infrastructure/systems for for infrastructure/systems made available on the Basel ESM, for ESM, prevention Convention website prevention/minimization of /minimization of the the generation of plastic generation of plastic wastes, and material wastes, and material recycling collected and recycling collected and disseminated disseminated # of countries developed At least one country National inventory of plastic Activity 2-2: Develop a Implementation: national inventories plastic developed a national wastes made available on the national inventory of Secretariat supported by wastes inventory of plastic wastes Basel Convention website plastic wastes and a experts, Regional Centres national strategy for the Target country(ies) – # of countries developed At least one country National strategy for the ESM ESM of plastic wastes in competent authorities, national strategy for the developed national of plastic wastes made target country(ies) ESM of plastic wastes strategy for the ESM of available on the Basel lead ministries plastic wastes Convention website Target municipaility(ies) – relevant authorities, informal sector Industry – waste management, recycling industry Contribution: inter- ministerial coordination committee, other partners from local government, municipalities, civil society # of case studies At least one case study Case study made available on Activity 2-3: Develop undertaken on formal and undertaken on formal and the Basel Convention website recommendations for

Results Indicator Targets Means of verification Activities Responsible informal collection systems informal collection infrastructure Implementation: developed from systems developed from requirements for the Secretariat supported by comparable developing comparable developing downstream experts, Regional Centres country settings country settings management of plastic Target country(ies) – wastes and for a competent authorities, # of municipalities At least one municipality Report of a pilot test of the sustainable system for undertaken a pilot test of (target: Dhaka, collection scheme made lead ministries the collection scheme of the collection scheme Bangladesh) undertaken a available on the Basel plastic wastes and pilot Target municipaility(ies) – recommended through the pilot test of the collection Convention website of the scheme with relevant authorities, project scheme recommended informal sector informal sector through the project Industry – waste # of countries identified At least one country Waste management pathways management, recycling waste management identified waste and infrastructure industry pathways (recycling, co- management pathways developments made available processing, landfill, final (i.e. recycling, co- on the Basel Convention Contribution: inter- disposal) and developed processing, landfill, final website ministerial coordination recommendations for disposal) and developed committee, other partners infrastructure requirements recommendations for from local government, in consultation with inter- infrastructure municipalities, civil society ministerial coordination requirements committee Output 3: # of countries undertaken At least one country Gap analysis made available Activity 3-1: Review and Implementation: Institutional and legal gap analysis of waste undertaken gap analysis of on the Basel Convention strengthen national legal Secretariat supported by structures for the ESM of management regulations waste management website and institutional experts, regional centres plastic wastes and capacity and capacities for their regulations and capacities framework to ensure the Target country(ies) – to enforce relevant implementation and for their implementation ESM of plastic waste competent authorities, regulatory regime improved enforcement and enforcement lead ministries # of countries developed At least one country Recommendations for revision Target municipaility(ies) – recommendations for developed of regulations made available relevant authorities, revision of regulations recommendations for on the Basel Convention informal sector revision of regulations website Industry – waste # of training activities At least one training Report of training activity management, recycling undertaken to strengthen activity undertaken to industry capacities for the strengthen capacities for implementation of the the implementation of the Contribution: international strategy and waste national strategy and ministerial coordination management regulations waste management committee, other partners regulations

Results Indicator Targets Means of verification Activities Responsible from local government, municipalities, civil society Outcome C: Private sector’s At least one private sector performance with regard to # of private sectors Report of project monitoring per target country sustainable production and improved its performance and evaluation improved its performance use, and responsible waste management is improved Outcome D: Global commitments and national and regional # of outputs of the current Report of project monitoring instruments to prevent All outputs achieved project achieved and evaluation marine litter and microplastics are strengthened Output 4: # of best practices and At least 5 best practices Compilation of best practices Activity 4-1: Collect best Implementation: Life cycle approach to plastic technologies for reducing and technologies for made available on the Basel practices and Secretariat supported by products, including the plastic wastes from reducing plastic wastes Convention website technologies, develop experts, regional centres consideration of the packaging sector collected from packaging sector strategies and pilot test Target country(ies) – degradation of different collected them for awareness competent authorities polymers and the rate of raising and ESM of # of strategies developed, At least one country Information on the strategy to fragmentation in the marine plastic wastes from Packaging industry in cooperation with developed a strategy, in raise awareness and environment, reducing packaging sector association packaging sector, to raise cooperation with fishing implement ESM of plastic hazardous additives, switching material awareness and implement sector, to raise awareness wastes from fishing sector Contribution: UNIDO, and implement ESM of made available on the Basel promoted ESM of plastic wastes UNDP, food manufacturers plastic wastes from fishing Convention website and consumer products sector industries # of countries pilot tested At least one country pilot Report of the pilot test the best practices and tested the best practices technologies for reducing and technologies for plastic wastes from reducing plastic wastes packaging sector from packaging sector # of best practices and At least 5 best practices Compilation of best practices Activity 4-2: Collect best Implementation: technologies for reducing and technologies for made available on the Basel practices and Secretariat supported by plastic wastes from fishing reducing plastic wastes Convention website technologies, develop experts, regional centres sector collected strategies and pilot test

Results Indicator Targets Means of verification Activities Responsible from fishing sector them for awareness Target country(ies) – collected raising and ESM of competent authorities plastic wastes from # of strategies developed, At least one country Information on the strategy to Contribution: FAO, fishing sector in cooperation with fishing developed a strategy, in raise awareness and MEPC/IMO, Regional Seas sector, to raise awareness cooperation with fishing implement ESM of plastic Programme, Regional and implement ESM of sector, to raise awareness wastes made available on the Fisheries Organization plastic wastes and implement ESM of Basel Convention website plastic wastes # of countries pilot tested At least one country pilot Report of the pilot test the best practices and tested the best practices technologies for reducing and technologies for plastic wastes from fishing reducing plastic wastes sector from fishing sector # of best practices and At least 5 best practices Compilation of best practices Activity 4-3: Collect best Implementation: technologies for preventing and technologies for made available on the Basel practices and Secretariat supported by the releases of micro and preventing the releases of Convention website technologies and pilot experts, regional centres nano plastics in waste micro and nano plastics in test them for preventing Target country(ies) – water collected waste water collected the releases of micro competent authorities and nano plastics in # of countries pilot tested At least one country pilot Report of the pilot test waste water Contribution: Waste water the best practices and tested the best practices sector, Sanitation protocol technologies for preventing and technologies for to the UNECE Water the releases of micro and preventing the releases of Convention, WHO nano plastics in waste micro and nano plastics in waters waste water Output 5: # of materials produced to At least two materials Materials made available on Activity 5-1: Engage Implementation: Commitments made in advocate the need for produced to advocate the the Basel Convention website governments, industry Secretariat supported by multinational/ multi- strengthening waste need for strengthening associations, civil experts, regional centres stakeholder for a towards management at the waste management at the society, academia to Contribution: UNEP, enhancing ESM and national, regional and national, regional and promote the need for GESAMP, FAO, IMO, reduction of hazardous global level and reducing global level and reducing strengthening waste regional seas programme, constituents of plastic hazardous constituents of hazardous constituents of management at the stakeholders including wastes plastic wastes plastic wastes national, regional and governments, industry global level and reducing # of global workshop At least one global associations, civil society, Report of the global workshop hazardous constituents organized to promote workshop organized to academia of plastic wastes commitments towards promote commitments enhancing ESM and towards enhancing ESM reduction of hazardous and reduction of

Results Indicator Targets Means of verification Activities Responsible constituents of plastic hazardous constituents of wastes plastic wastes Output 6: # of educational and At least two educational Educational and outreach Activity 6-1: Develop Implementation: Educational and awareness outreach materials and outreach materials materials made available on and disseminate, Secretariat supported by measures on marine litter targeted to specific interest targeted to different the Basel Convention website including through school experts, regional centres and microplastics groups and range of ages to interest groups and range curricula, educational Contribution: UNEP, strengthened promote behavioral change of ages to promote and outreach materials GESAMP, educational developed behavioral change targeted to specific institution, civil society, developed interest groups and academia range of ages to # of school curricula At least one school Information on school promote behavioral introduced elements of curricula per UN region curricula with elements of change towards marine litter introduced elements of marine litter made available sustainable consumption marine litter on the Basel Convention website

3. Description of activities, partners and time frame

3.1 Description of activities

Component 1: Controlling the transboundary movements (TBM) of plastic wastes Rationale and description: In recent years, a range of concerns have been expressed about the international trade of plastic wastes, in particular the challenges faced when receiving contaminated or unsorted plastic wastes. Other concerns have focused on how the international trade of plastic wastes disrupts the domestic plastic market (large volume of imported cheap plastic vs. small volume of expensive domestically collected plastic) and has led to an increase of informal recyclers. Currently, some of plastic wastes traded fall outside the scope of the Basel Convention, and their international trade is therefore not controlled by that Convention, while other such wastes, for instance if they are “household” wastes (Annex II) or “hazardous” wastes (i.e. contaminated by the constituents listed in Annex I to an extent that makes them hazardous), fall within the scope of the Basel Convention. In the latter case, each transboundary movement of waste must be subject to the Convention’s strict control procedure. This includes for instance the obligation for Parties to the Convention to only export plastic wastes that they do not have the capacity to manage in an environmentally sound manner and to only export these to importing Parties that not only have the capacity to manage these wastes in an environmentally sound manner but are willing to do so. The Parties to the Basel Convention will, during their Conference in May 2019, consider whether to amend the Annexes of the Convention, and possibly extend the types of plastic wastes falling under its scope. The activities in this component will build on the extensive experience of the Secretariat and its partners in assisting the selected Parties better understand, monitor and control transboundary movements of plastic wastes. Activities will be grounded in guidance adopted at the global level by the Conference of the Parties (e.g. glossary of terms, guide to the Figure: Trade of plastic waste in mass and trade value control system, guidance on the development (Source: UN Comtrade) of inventories, guidance on preventing and (A) Advances in Municipal Recovery Facility technology combating illegal traffic) and tailored to the resulting in expansion of commingled recycling, especially specific needs of countries. The project will single-stream recycling in the United States (1995–2005); (B) Surge in globalization, supported by the World Trade also aim at ensuring that, through cooperation with its partners, increased awareness is raised about such guidance and that partners, in turn, use such guidance and any lessons learned from the project in their own activities relevant to controlling the international trade in plastic wastes. Those activities are expected to result in improved institutional and legal structures for the control of the import/export of plastic wastes and capacity to enforce relevant regulatory regime thereby contributing to improved infrastructure and systems for waste management, including material recycling, for waste from land-based activities in partner countries. 19

Outcome A: Infrastructure and systems for waste management, including material recycling, for waste from land-based activities in partner countries are improved Output 1: Institutional and legal structures for the control of the import/export of plastic wastes and capacity to enforce relevant regulatory regime improved Activity 1-1: Review and provide support to adjust national legal and institutional framework to ensure sound legal basis to implement and enforce the control regime of the Basel Convention, in particular with respect to the TBM of plastic wastes 1 Undertake an assessment of the national legal and institutional frameworks including possible gaps to implement the Basel Convention control regime 2 In consultation with relevant national & local stakeholders (in particular competent authorities and Customs), draft adjustments to fill the identified gaps in the legal and institutional frameworks to ensure it fully implements the Basel Convention control regime 3 Adopt (if a regulation) or submit to the legislative branch adjustments to the domestic legislation 4 Disseminate and raise awareness among relevant stakeholders of the adjustments to the legal and institutional framework Activity 1-2: Develop national Inventories of the import and export of plastic wastes, establish sustainable mechanisms to update inventories and to report relevant information in the Basel Convention national reporting format 1 Undertake an assessment of the steps already taken to develop an inventory of plastic wastes that are imported and exported; 2 Establish a methodology for the inventory through consultations with stakeholders (in particular generators, exporters, importers and disposers, as well as competent authorities and Customs) and building on existing guidance developed under the Convention and other relevant guidance documents; 3 Implement the methodology through the development of the inventory 4 Develop national report containing information on transboundary movements of plastic wastes for transmission to the Secretariat of the Basel Convention Activity 1-3: Promote effective control of transboundary movement of plastic waste and build capacity to prevent cases of illegal traffic 1 Analyze potential impact of the various proposals to amend the annexes to the Basel Convention with respect to TBM of plastic wastes and develop a report in consultation with stakeholders with recommendations to the attention of the authorities 2 Develop training modules on the international trade/transboundary movement of plastic wastes and inclusion in in the national Customs training curricula; 3 Undertake training activities for competent authorities and enforcement authorities, including on completing the national report with information in Table 9- closed cases of illegal traffic Specific partners: In 2018, the World Customs Organization (WCO) has strengthened its involvement in this issue and is an important partner for any trade-related aspects, whether legal or illegal, of plastic wastes. WCO, including Regional Intelligence Liaison Office for Asia/Pacific (RILO/AP), if selected country is from the Asia and Pacific region) would be a key partner for the project. Cooperation will also be sought with

INTERPOL given its lead role in preventing and addressing environmental crime (e.g. strengthening of the NCB in selected countries, participation in enforcement operations). Other partners include the Basel and Stockholm Conventions Regional Centre serving the selected countries due to their understanding of the regional and country-specific aspects of the issue, and their expertise in the Conventions, Caribbean Community (CARICOM), if selected countries from the Caribbean region and European Union Network for the Implementation and Enforcement of Environmental Law (IMPEL).

Component 2: Ensuring the environmentally sound management (ESM) of plastic wastes Rationale: Many developing countries lack the systems for the collection, segregation and transport of municipal wastes, including plastic wastes. The UN estimates that at least 2 billion people worldwide still lack access to solid waste collection. Instead, municipal waste collects on roadsides or in uncontrolled dumps, is subject to open burning or makes its way into watercourses such as rivers and the open sea constituting marine litter. Waste scavengers or pickers are engaged on an informal basis in certain types of waste management activities, although these activities are generally not recognized by local authorities and are not integrated into any formalized systems that might operate. In addition to inadequate systems for the collection and sorting of plastic wastes, there is a lack of infrastructure for the ESM of the wastes. While prevention is key, improving waste collection and management is urgent short-term solution to reducing plastic inputs, especially in developing economies. The activities under this component aim at supporting countries to develop inventories of plastic wastes and develop an ESM strategy where countries identify priorities at the national level for the ESM of plastic wastes, as well as pilot testing of the strategy in target countries. The ESM strategy focuses on policies and management actions across the waste hierarchy, giving priority to wastes prevention and minimization, followed by re-use, recycling, recovery and residual management. Such a strategy will include an integrated approach to waste management with an emphasis on prevention, minimization and the establishment of collection systems for recycling and final disposal of plastic wastes. An assessment of current waste management practices in the formal and informal sectors will be undertaken and recommendations will be made for requisite infrastructure to ensure the ESM of plastic wastes (including for recycling, for example, by identifying recycling options in the region), co- processing and final disposal (e.g. requirements for landfill and incineration). In collaboration with municipalities and where relevant, the informal sector, options for sustainable systems for the collection, transport and segregation of plastic wastes will be identified and recommendations made for their implementation. A gap analysis of current waste management regulations and institutional capacity for their implementation and enforcement will identify where regulations and capacities require strengthening and, on the basis of guidance developed Figure: Waste management hierarchy under the Basel Convention, how this might be achieved. 21

The ESM strategy developed under this project is expected to contribute to improved infrastructure and systems for waste management, including material recycling, for waste from land-based activities in partner countries. The pilot testing will contribute to clearing of wastes in selected coastal areas and rivers and proper waste management, though in a limited scale. Outcome A: Infrastructure and systems for waste management, including material recycling, for waste from land-based activities in partner countries are improved Outcome B: Selected coastal areas and rivers are cleared of waste and the waste is properly managed Output 2: Infrastructure and sustainable systems for ESM of waste from land-based activities and material recycling improved Activity 2-1: Develop inventory toolkit and build capacity to use the toolkit and develop a strategy for the ESM of plastic wastes 1 Develop a plastic waste inventory toolkit (co-financed by Sweden: USD 10,000) 2 Collect and disseminate best practices of infrastructure and systems for ESM, prevention and minimization of the generation, and material recycling and promote best practices and recycling of recyclable materials (e.g. plastic bottles, utensils, plastic lids) 3 Organize 3 workshops to train Basel and Stockholm conventions Parties to use the inventory toolkit and to develop a strategy for the ESM of plastic wastes and plans (co-financed by Sweden: USD 160,000 for organizing 2 workshops) Activity 2-2: Develop a national inventory of plastic wastes and a national strategy for the ESM of plastic wastes in target country(ies) 1 National consultations with relevant stakeholders from government, industry, civil society, etc.: o To outline the inventory methodology and agree on modalities for data collection o To agree on the parameters of the strategy (i.e. workplan for development of the strategy, goals, policy instruments for implementation, role of stakeholders, time-bound actions, mechanisms for monitoring and evaluation) – coincides with national consultations for Output G, I and J where possible) and 2 Develop national inventory (data collection and modelling, supplemental data collection from industry, local governments, municipalities and informal sector; consolidation and analysis of data) 3 Develop the ESM strategy in consultation with inter-ministerial coordination committee 4 Develop financing scheme at the municipal level in one municipality in one of the target countries 5 Launch ESM strategy with national stakeholders Activity 2-3: Develop recommendations for infrastructure requirements for the downstream management of plastic wastes and for a sustainable system for the collection scheme of plastic wastes and pilot of the scheme with informal sector 1 Conduct case studies on formal and informal collection systems developed from comparable developing country settings 2 National consultations with relevant stakeholders from government, municipalities, industry, civil society, informal sector cooperatives etc.:

o To present inventory and investigate baseline waste management practices and infrastructure o To establish current practices for collection, segregation and transport of plastic wastes and possible models 3 Identify waste management pathways (i.e. recycling, co-processing, landfill, final disposal) and develop recommendations for infrastructure requirements in consultation with inter-ministerial coordination committee and other stakeholders 4 Modelling of sustainable system for the collection, transport and segregation of plastic wastes and pilot of the collection scheme with one municipality 5 Consultation with government, municipalities, industry, civil society and informal sector cooperatives to review pilot scheme and develop recommendations for wider implementation Output 3: Institutional and legal structures for the ESM of plastic wastes and capacity to enforce relevant regulatory regime improved Activity 3-1: Review and strengthen national legal and institutional framework to ensure the ESM of plastic waste 1 Gap analysis of waste management regulations and capacities for their implementation and enforcement; development of draft recommendations for revision of regulations 2 National consultations with relevant stakeholders from government, industry, civil society, etc. to discuss baseline regulatory practices and experiences and to provide an outline of draft recommendations 3 Revise recommendations and draft revised regulation in consultation with inter-ministerial coordination committee 4 National training to strengthen capacities for the implementation of the national strategy and waste management regulations, on the basis of the tools and guidance developed under the Basel Convention Specific partners: For this component, the following the project will work with the following partners: Basel and Stockholm Conventions Regional Centres: Government departments including ministries of environment, industry, labor and finance, Municipalities, local NGOs, Academia, informal sector cooperatives, UNDP, UNEP, Development banks. The project will also aim at ensuring that, through cooperation with its partners, increased awareness is raised about guidance and tools under the Convention on the environmentally sound management of wastes and that partners, in turn, use such guidance and any lessons learned from the project in their own activities relevant to promoting the environmentally sound management of plastic wastes.

Component 3: Tackling source Rationale and description: Waste prevention and minimization involves both upstream alterations in product choices as well as alterations in consumer habits. Such strategies assure that either or both the objectives of less waste (quantity) is produced and/or less hazardous constituents (quality) are utilized in production so that less hazardous wastes are generated.

Article 4 of the Basel Convention commits the Parties to minimize the generation of hazardous wastes and other wastes. Long-term solution to address marine litter and microplastics include improved governance at all levels as well as behavioral and system changes, such as sustainable production and consumption patterns. Plastic wastes may contain potentially hazardous substances (additives e.g. plasticizers and flame retardants) or may be contaminated by hazardous substances, and as such may pose a risk to human health and marine ecosystems as marine plastic litter and microplastics. To tackle source, private sector needs to be fully engaged, global/regional/national commitments to prevent plastic wastes needs to be made, and public behavior needs to be changed through education and awareness raising. The present project will focus on three sectors: packaging, fishing and waste water. Packaging sector: One of the most important sources of marine plastic litter and microplastics is packaging, food packaging, industrial packaging, including for plastic pellets transport. Reducing waste at source and enhancing ESM is key for reducing marine plastic litter and microplastics. Industry, in particular packaging industry should take into account a life cycle approach to plastic products, including the consideration of the degradation of different polymers and the rate of fragmentation in the marine environment, reducing hazardous additives. The project aims at working with policy makers to support the development of policies for plastic wastes reduction in the packaging sector. Together with key stakeholders in the packaging sector, best practices, examples and case studies on policies for the reduction of packaging wastes, including the plastic fraction, collection, recycling and final disposal will be collected and disseminated. The project will work with packaging private sector associations and companies to promote voluntary commitment on reducing packaging plastic waste of key international companies both producing packages and using them in large quantities.

Figure: Global flow of plastic packaging waste, 2015 Fishing sector: The project will raise awareness of the impact of lost fishing gears in plastics, dumped in the sea by collecting best practices, disseminating them among key stakeholders in this sector, collect best practices for the sustainable management of fishing gears in plastics, promoting their collection and environmentally sound disposal, including their recycling.

The project aims at working with partners to promote voluntary agreements and best practices in companies and associations of this sector, partnering with the private sector, leveraging support to the project activities. This will include fisheries associations in coastal areas of the countries in which the project will be implemented, waste management companies for the collection of the nets at ports, recyclers in various sectors. The project will be implemented in collaboration with the International Maritime Organization (IMO) MEPC, the London Convention, FAO and other stakeholders. The project will take into consideration the methodologies and the findings of a pilot project developed by the Catalan Waste Agency in cooperation with ECNC-European Centre for Nature Conservation (Dutch NGO), AQUAFIL (Italian company with factory in Slovenia which processes nets and turns them into nylon thread), STAR SOCK (Dutch company that makes socks) and NÖFIR (Norwegian net maker). The goal of the project is the collection and recovery of fishing nets in order to create new textile products (socks or swimming costumes). Waste water sector: Municipal wastewater effluent has been identified as one of the pathways for microplastics to enter the aquatic environment. In a recent study, 0.05 ± 0.024 microparticles per liter of effluent were found. Though a small value on a per liter basis, even minor municipal wastewater treatment facilities process millions of liters of wastewater each day, yielding daily discharges that ranged from ∼50,000 up to nearly 15 million particles.10 Prevention of microplastics in waste water is key to reducing the inflow into rivers and seas. Increased knowledge of technologies and best practices for preventing releases from waste water both at the household and municipal levels is important to raise awareness and reduce the inflow of land based sources of micro and nano plastics. A number of best practices are developed and technologies available to reduce the release of nano and microplastics from household and municipal waste water effluents. The project aims at collecting this information and at testing the application of these technologies with relevant partners. Outcome C: Private sector’s performance with regard to sustainable production and use, and responsible waste management is improved Outcome D: Global commitments and national and regional instruments to prevent marine litter and microplastics are strengthened Output 4: Life cycle approach to plastic products, including the consideration of the degradation of different polymers and the rate of fragmentation in the marine environment, reducing hazardous additives, switching material promoted Activity 4-1: Collect best practices and technologies, develop strategies and pilot test them for awareness raising and ESM of plastic wastes from packaging sector 1 Identify major stakeholders in packaging sector in target countries 2 Collect best practices and technologies for reducing plastic wastes from packaging sector 3 Support the stakeholders in the packaging sector to develop plastic waste plastic strategies, on the basis of the guidance on waste prevention and minimization in the ESM Toolkit 4 Pilot test the best practices and technologies for reducing plastic wastes from packaging sector Activity 4-2: Collect best practices and technologies, develop strategies and pilot test them for awareness raising and ESM of plastic wastes from fishing sector

10 Microplastic pollution is widely detected in US municipal wastewater treatment plant effluent, Sherri A.MasonaDanielleGarneaubRebeccaSuttoncYvonneChubKarynEhmannbJasonBarnesbParkerFinkaDanielPapazissimosaDarrin L.Rogersd, in Environmental Pollution, volume 218, November 2016. 25

1 Identify major stakeholders in the sector using plastic nets in target countries 2 Collect best practices and technologies for reducing plastic wastes from fishing sector 3 Support the stakeholders in the sector to develop strategies/action plan to phase in sustainable management of plastic nets 4 Pilot test the best practices and technologies for reducing plastic wastes from fishing sector Activity 4-3: Collect best practices and technologies and pilot test them for preventing the releases of micro and nano plastics in waste water 1 Collect best practices and technologies for preventing the releases of micro and nano plastics in waste water collected 2 Pilot test the best practices and technologies for preventing the releases of micro and nano plastics in waste waters Output 5: Commitments made in multinational/ multi-stakeholder for a towards enhancing ESM and reduction of hazardous constituents of plastic wastes Activity 5-1: Engage governments, industry associations, civil society, academia to promote the need for strengthening waste management at the national, regional and global level and reducing hazardous constituents of plastic wastes 1 Develop materials to advocate the need for strengthening waste management at the national, regional and global level and reducing hazardous constituents of plastic wastes 2 Organize a global workshop to promote commitments towards enhancing ESM and reduction of hazardous constituents of plastic wastes Output 6: Educational and awareness measures on marine litter and microplastics strengthened Activity 6-1: Develop and disseminate, including through school curricula, educational and outreach materials targeted to specific interest groups and range of ages to promote behavioral change towards sustainable consumption 1 Develop educational and outreach materials targeted to specific interest groups and rage of ages to promote behavioral change 2 Elements of marine litter introduced into educational curricula Specific partners: The project will work closely with organizations such as regional fisheries organizations, regional seas programmes, FAO, UNEP, WHO, IOC to raise awareness of fisheries and aquaculture sector stakeholders on the importance of managing plastic-based gears, equipment uses and inputs and preventing loss or release of plastic and microplastic-generating gears. Other partners include: regional centres, UNDP, food manufacturers and consumer products industries, fishing associations, Sanitation protocol to the UNECE Water Convention, WHO, academia, private sector associations and other NGOs. The project will also aim at ensuring that, through cooperation with its partners, increased awareness is raised about guidance and tools under the Convention of relevance to and that partners, in turn, use such guidance and any lessons learned from the project in their own activities relevant to promoting the environmentally sound management of plastic wastes.

3.2 Workplan

2018 Year 12019 Year 22020 ID Project Outputs & Activities Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4

Component 1: Controlling the transboundary movements (TBM) of plastic wastes

Output 1: Institutional and legal structures for the control of the import/export of plastic

wastes and capacity to enforce relevant regulatory regime improved

Activity 1-1: Review and provide support to adjust national legal and institutional framework to ensure sound legal basis to implement and enforce the control regime of the Basel Convention, in particular with respect to the TBM of plastic wastes

Undertake an assessment of the national legal and institutional frameworks including 1 X possible gaps to implement the Basel Convention control regime

In consultation with relevant national & local stakeholders (in particular competent 2 authorities and Customs), draft adjustments to fill the identified gaps in the legal and X X X institutional frameworks to ensure it fully implements the Basel Convention control regime

Adopt (if a regulation) or submit to the legislative branch adjustments to the domestic 3 X X legislation

Disseminate and raise awareness among relevant stakeholders of the adjustments to the 4 X X legal and institutional framework

Activity 1-2: Develop national Inventories of the import and export of plastic wastes, establish sustainable mechanisms to update inventories and to report relevant information in the Basel Convention national reporting format

Undertake an assessment of the steps already taken to develop an inventory of plastic 1 X wastes that are imported and exported

Establish a methodology for the inventory through consultations with stakeholders (in particular generators, exporters, importers and disposers, as well as competent authorities 2 X X X and Customs) and building on existing guidance developed under the Convention and other relevant guidance documents

3 Implementation of the methodology through the development of the inventory X X

Development of national report containing information on transboundary movements of 4 X X plastic wastes for transmission to the Secretariat of the Basel Convention

Activity 1-3: Promote effective control of transboundary movement of plastic waste and

build capacity to prevent cases of illegal traffic

2018 Year 12019 Year 22020 ID Project Outputs & Activities Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4

Analyze potential impact of the various proposals to amend the annexes to the Basel 1 Convention with respect to TBM of plastic wastes and develop a report in consultation with X X stakeholders with recommendations to the attention of the authorities

Develop training modules on the international trade/transboundary movement of plastic 2 X X wastes and inclusion in in the national Customs training curricula

Undertake training activities for competent authorities and enforcement authorities, 3 including on completing the national report with information in Table 9- closed cases of X X illegal traffic

Component 2: Ensuring the environmentally sound management (ESM) of plastic wastes

Output 2: Infrastructure and sustainable collection systems for ESM of waste from land-

based activities and material recycling improved

Activity 2-1: Develop inventory toolkit and build capacity to use the toolkit and develop a

strategy for the ESM of plastic wastes

1 Develop and pilot test a plastic waste inventory toolkit X X

Collect and disseminate best practices of infrastructure and systems for ESM, prevention 2 and minimization of the generation, and material recycling and promote best practices and X X recycling of recyclable materials (e.g. plastic bottles, utensils, plastic lids)

Organize 3 workshops to train Basel and Stockholm conventions Parties to use the 3 inventory toolkit and to develop a strategy for the ESM of plastic wastes and plans (co- X X financed by Sweden: USD 160,000 for organizing 2 workshops)

Activity 2-2: Develop a national inventory of plastic wastes and a national strategy for the

ESM of plastic wastes in target country(ies)

National consultations with relevant stakeholders from government, industry, civil society, 1 X X X etc

Develop national inventory (data collection and modelling, supplemental data collection 2 from industry, local governments, municipalities and informal sector; consolidation and X X X analysis of data)

3 Develop the ESM strategy in consultation with inter-ministerial coordination committee X X X X X

Develop financing scheme at the municipal level in one municipality in one of the target 4 X X X X countries

5 Launch ESM strategy with national stakeholders X 28

2018 Year 12019 Year 22020 ID Project Outputs & Activities Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4

Activity 2-3: Develop recommendations for infrastructure requirements for the downstream management of plastic wastes and for a sustainable system for the collection scheme of plastic wastes and pilot of the scheme with informal sector

Conduct case studies on formal and informal collection systems developed from 1 X X comparable developing country settings

National consultations with relevant stakeholders from government, municipalities, 2 X industry, civil society, informal sector cooperatives etc.

Identify waste management pathways (i.e. recycling, co-processing, landfill, final disposal) 3 and develop recommendations for infrastructure requirements in consultation with inter- X X ministerial coordination committee and other stakeholders

Modelling of sustainable system for the collection, transport and segregation of plastic 4 X X X wastes and pilot of the collection scheme with one municipality

Consultation with government (national and local), municipalities and informal sector 5 cooperatives to review pilot scheme and develop recommendations for wider X implementation

Output 3: Institutional and legal structures for the ESM of plastic wastes and capacity to

enforce relevant regulatory regime improved

Activity 3-1: Review and strengthen national legal and institutional framework to ensure

the ESM of plastic waste

Gap analysis of waste management regulations and capacities for their implementation and 1 X X X enforcement; development of draft recommendations for revision of regulations

National consultations with relevant stakeholders from government, industry, civil society, 2 etc. to discuss baseline regulatory practices and experiences and to provide an outline of X X draft recommendations

Revise recommendations and draft revised regulation in consultation with inter-ministerial 3 X X X X X X coordination committee

National training to strengthen capacities for the implementation of the national strategy 4 and waste management regulations, on the basis of the tools and guidance developed X X X under the Basel Convention

2018 Year 12019 Year 22020 ID Project Outputs & Activities Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4

Component 3: Tackling source

Output 4: Life cycle approach to plastic products, including the consideration of the degradation of different polymers and the rate of fragmentation in the marine environment, reducing hazardous additives, switching material promoted

Activity 4-1: Collect best practices and technologies, develop strategies and pilot test

them for awareness raising and ESM of plastic wastes from packaging sector

1 Identify major stakeholders in packaging sector in target countries X X

2 Collect best practices and technologies for reducing plastic wastes from packaging sector X X X

3 Support the stakeholders in the packaging sector to develop plastic waste plastic strategies X X X X

Pilot test the best practices and technologies for reducing plastic wastes from packaging 4 X X X X sector

Activity 4-2: Collect best practices and technologies, develop strategies and pilot test

them for awareness raising and ESM of plastic wastes from fishing sector

1 Identify major stakeholders in the sector using plastic nets in target countries X X

2 Collect best practices and technologies for reducing plastic wastes from fishing sector X X X

Support the stakeholders in the sector to develop action plan to phase in sustainable 3 X X X X management of plastic nets

4 Pilot test the best practices and technologies for reducing plastic wastes from fishing sector X X X X

Activity 4-3: Collect best practices and technologies and pilot test them for preventing

the releases of micro and nano plastics in waste water

Collect best practices and technologies for preventing the releases of micro and nano 1 X X X plastics in waste waters

Pilot test the best practices and technologies for preventing the releases of micro and nano 2 X X X plastics in waste waters

Activity 5-1: Engage governments, industry associations, civil society, academia to promote the need for strengthening waste management at the national, regional and global level and reducing hazardous constituents of plastic wastes

Develop materials to advocate the need for strengthening waste management at the 1 X X X X X X national, regional and global level and reducing hazardous constituents of plastic wastes

2018 Year 12019 Year 22020 ID Project Outputs & Activities Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4

Organize a global workshop to promote commitments towards enhancing ESM and 2 X X X reduction of hazardous constituents of plastic wastes

Activity 6-1: Develop and disseminate, including through school curricula, educational and outreach materials targeted to specific interest groups and range of ages to promote behavioral change towards sustainable consumption

Develop educational and outreach materials targeted to specific interest groups and rage 1 X X X X of ages to promote behavioral change

2 Elements of marine litter introduced into educational curricula X X X X X

4. Communication plan This initiative requires significant communications elements in order to be successful, these are outlined below. The communications elements will be implemented within the framework of, and through, the overall BRS public awareness and outreach, capitalizing on the opportunities, system, and capacities which already exist within and around the Secretariat. Tailored communication materials, events, and messages concerning the three project components – individually and as a holistic “umbrella” – will be developed by the BRS Public Awareness and Outreach team, in close cooperation with the technical and legal programmatic leads, and under the overall supervision of the Executive Secretary. Key activities will include: • Dissemination of project findings to relevant development, policy-making, and economic/financial sectors, through the development and distribution of project brochures, reports, guidelines, infographics, short videos, inventories, best practices etc.; • Dissemination of project findings and agreed key messages through repeated and intensive use of existing (and new) BRS communications channels, including the BRS homepages, BRS social media platforms, BRS monthly newsletter, and through special events and a media engagement plan; • Design and realization of a dedicated mini-website housing all project information resources and acting as a flagship for the initiative. As well as reaching international audiences with English-language communications products, the project will where appropriate work with and through the relevant Basel and Stockholm Regional Centres to develop national language materials and events in the target countries. The communication component is included in the project budget.

5. Budget and organization This section describes the budget for the activities and associated administrative costs, including total costs of the project, existing income sources and remaining gaps.

5.1 Budget The project budget for each component is detailed in the enclosed excel file.

5.2 Existing income sources A project entitled “Strengthening capacities of Parties for the ESM of plastic wastes to prevent and reduce marine litter plastic and microplastics in cooperation with Basel and Stockholm Regional Centres” has been funded by the Government of Sweden in 2018.11 The project aims at enhancing the capacity of Parties to the Basel and Stockholm conventions to manage plastic wastes in an environmentally sound manner with a view of preventing and reducing marine litter plastic and microplastics. Envisaged outputs include the development of training and information materials to raise awareness on the ESM of plastic wastes and on the prevention and minimization of marine litter plastic and microplastics focusing on prevention, recycling and final disposal of plastic wastes. The project also seeks to acquire new case studies and training materials related to the Basel Technical guidelines for the identification and for the ESM of plastic wastes and for their disposal and to enhancing cooperation between the Basel, Rotterdam and Stockholm conventions and Regional Seas conventions. The implementation of this project complements and is harmonized with, in particular, component 2 of the current project.

5.3 Possibilities for donors to earmark funds to certain components in the project While the current proposal does not necessarily depend on the receipt of additional contributions, other donors will be invited to express their interest to earmark funds to certain components in the current project.

11 The project will be implemented between November 2018 and September 2019 with a budget of USD 113,000. Project main contact: Sofia Tapper, Deputy Director, Division for Chemicals, Ministry of the Environment and Energy, Sweden ([email protected]); contact at SIDA: Alexandra Wachtmeister, Senior Programme Specialist, Unit for Global Cooperation on Environment, Department for International Organisations and Policy Support ([email protected]).

6. Reporting system, monitoring, evaluation and financial follow-up Following approval of the project’s results framework, a baseline study will be undertaken to refine indicators and establish baseline values for those indicators. This baseline study will also be used to establish and confirm the project’s ongoing data sources and monitoring processes, with all this material to be consolidated within a comprehensive monitoring manual for project personnel. The project will be executed and monitored under the overall supervision of the Executive Secretary of the Basel, Rotterdam and Stockholm conventions, including ensuring that expenditures are in line with UNEP rules, regulations and procedures as well as with the proposed budget. Day-to-day management and monitoring of overall project activities will be the responsibility of the Executive Secretary. The implementation of individual activities and preparation of progress report will be the responsibility of staff members. The progress achieved towards the outputs will be assessed on a regular basis. Staff members will receive administrative assistance from the Administration and Resource Oversight Branch. The project will follow standard reporting and evaluation processes and procedures of the Secretariat of the Basel, Rotterdam and Stockholm conventions, which include annual reviews undertaken internally, and an end-of-project evaluation undertaken by an independent external consultant. At the end of the project, a final evaluation will examine the extent and magnitude of any project impacts to date and determine the likelihood of future impacts. The evaluation will be carried out by an independent external consultant using a participatory approach whereby the staff members, some of the key participants as well as other representatives of the executing agencies and other relevant staff will be invited to provide inputs for the review of specific products including the final reports from countries. The assessment of project results will seek to determine the extent to which the project objectives were achieved. The Secretariat will prepare and submit to Norwegian Agency for Development Cooperation (Norad) annual narrative progress reports. The narrative report will be available by 31 March of the respective year. The certified annual financial statement will be available 30 June of the respective year. The submission of progress reports is followed by annual consultations between the Secretariat and Norad. A final narrative report, including a certified financial statement, will be submitted to Norad no later than six months after the closure of the project. The BRS conventions are financially audited annually by the United Nations Board of Auditors (BOA) as part of the routine annual audit of UNEP as well as overseen and at times audited if required, by the Office for Internal Oversight Services of the UN (OIOS). The three MEAs financial statements are part of the audited and published UNEP financial statements. The monitoring and evaluation component is included in the project budget.

7. Risk analysis An analysis of the main risks for the project proposal is presented in the table below.

Impact Risk Management Risk Description Category Likelihood Severity Strategy & Safeguards

1 Limited involvement of Organization High Medium Continual dialogue with parties project partners in the and key stakeholders; project and in providing establishment of an inter- information ministerial coordinating committee

2 Timely availability of Financial High Low Continual dialogue with donors funds

3 Delays encountered due Organization Medium High To be expected in any multi- to project partners stakeholder project; timelines internal processes developed to reflect this possibility

4 Changes to the political Organization; Medium Medium To be expected in any multi- situation or decision- Political stakeholder project; timelines making structure in the developed to reflect this project countries possibility; inter-ministerial coordinating committee established to address these difficulties

5 Sustainability of in-kind Financial High Low Constant dialogue with donors, contribution or co- strategic partners and key funding by donors and stakeholders strategic partners

6 Timely availability of Organization High Low Ongoing dialogue with experts experts

In addition to the risks identified above are the tangible impacts that this project will have on mitigating climate change and on the promotion of gender equality and a human-rights based approach. Special consideration has been given to the issue of corruption and how to ensure post-project sustainability of the project impacts.

Cross sectional risks on human rights, women’s rights and gender equality, climate change and environment, anti-corruption The design and implementation of the present project takes into account the UN Environment’s Environmental and Social and Economic Sustainability (ESES) framework (https://wedocs.unep.org/rest/bitstreams/14946/retrieve), which sets minimum sustainability standards for UNEP and its implementing/executing partners, and enables UNEP, including the UNEP- administered MEAs, to anticipate and manage emerging environmental, social and economic issues. The ESES framework is built on several core principles, such as the Precautionary Approach. The present project hence applies a science-based precautionary approach to its project design and implementation. The term “environmental degradation” as stated in 1992 in the Rio Declaration on Environment and Development is interpreted to encompass both negative impacts on the natural environment, and

35 adverse social and economic impacts resulting from those impacts. This design of the present project is science-based and therefore anticipates and addresses harm before it happens. Where there are threats of serious or irreversible damage, lack of full scientific certainty will not be used as a reason for avoiding cost-effective measures to prevent environmental degradation. At the same time, the ESES framework is founded on a human rights-based approach (HRBA) to project management, including the rights of future generations. This means that stakeholder engagements and public participation from the project preparation to closure is based on the following procedural human rights principles: 1 Equality and Non-discrimination: All individuals are equal as human being by virtue of the inherent dignity of each human person. All human beings are entitled to their human rights without discrimination of any kind, such as race, colour, sex, age, language, religion, political or other opinion, national or social origin, disability, property, birth or other status; 2 Participation and Inclusion: Every person and all peoples are entitled to active, free and meaningful participation in, contribution to, and enjoyment of civil, economic, social, cultural and political development in which human rights and fundamental freedoms can be realized; 3 Accountability and Rule of Law: This requires accessible, effective and independent mechanisms and procedures of redress based on appropriate judicial and administrative mechanisms. The present project also takes into account key thematic safeguards identified in the frame and, which provide relevant minimum requirements under each Thematic Safeguard Standard to consider at different stages throughout the life cycle of projects. The nine thematic areas that UNEP, and UNEP-administered MEAs, consider important and relevant are: Safeguard Standard 1: Biodiversity conservation, natural habitats, and sustainable management of living resources Safeguard Standard 2: Resource efficiency, pollution prevention and management of chemicals and wastes Safeguard Standard 3: Safety of dams Safeguard Standard 4: Involuntary resettlement Safeguard Standard 5: Indigenous peoples Safeguard Standard 6: Labor and working conditions Safeguard Standard 7: Protection of tangible cultural heritage Safeguard Standard 8: Gender equality Safeguard Standard 9: Economic sustainability As per the risk of corruption and fraud, the implementation of the project by the Secretariat, as well as the implementing partners, takes into account the codes of conduct, among others, with regard to anti- corruption and fraud set out in the general procurement guidelines of the United Nations and UN

Environment12 as well as Anti-fraud and Anti-corruption Framework of the United Nations Secretariat (ST/IC/2016/25)13 adopted in 2016, which applies in conjunction with UN staff rules and regulations. The Regional Centres, which are used as implementing partners for the present project, are required to apply the same standards.

Climate change impacts The project has been formulated in consideration of the potential impacts on other environment-related issues, including climate change. The activities are anticipated to provide a net benefit in promoting the circular economy approach and as such, mitigating the impact of climate change. In particular, project component 2 on the environmentally sound management of plastic wastes will among its objectives promote the recycling of plastic wastes, including through regional approaches. The consequence is a reduction in the need for virgin plastics derived from petrochemicals for the manufacture of new plastic products, which in turn mitigates climate change impacts. Component 3 on tackling source will promote the prevention and minimization of the generation of plastic waste and as such will have a mitigating impact on climate change.

Gender mainstreaming and a human rights-based approach In accordance with decisions taken by the Conferences of the Parties to the BRS conventions, gender mainstreaming is considered in all projects developed by the BRS Secretariat. The BRS-Gender Action Plan provides the blueprint for actions to promote gender equality within the Secretariat and gender mainstreaming in its programme of work and activities, including those undertaken in partnership with other stakeholders. The ultimate goal is to incorporate gender equality into achieving the common objective of the conventions, namely protecting human health and the environment. It is also hoped that the BRS-GAP would lead to a greater recognition of the links between gender, poverty and hazardous chemicals and wastes. All BRS programming is aligned with the principles of the GAP. A number of consultative activities will take place during the life of the project and focus will be given on including groups representing the concerns of women and other vulnerable sectors of the population. Gender will play an especially important role in the work to be undertaken with the informal sector and municipalities under project component 2 on the ESM of plastic waste. The activities to develop sustainable collection systems for plastic waste will require a joint approach from the key actors in the waste collection and recycling sectors – including municipalities and the informal sector. By recognizing and incorporating the role of the informal sector in the project activities, there will be a push to achieve the social and economic inclusion of informal recyclers, in line with a human-rights based approach. This effort will include a gender focus that encourages the empowerment of women recyclers to gain access to the recycling market, to lead and participate fully in decision making in the organizations that represent them.

Preventing corruption The safeguards put in place throughout the project, including working through the regional centres and local UN agencies will reduce the project risk associated with corruption. BRS has a robust financial

12 See overview of procurement tools available at: https://www.ungm.org/Shared/KnowledgeCenter/Pages/KC_ProcTools 13 https://hr.un.org/files/handbook/ic-2016-25-anti-fraud-and-anti-corruption-framework-un-secretariatdocx.

37 framework (the UN standard) through which funds are committed through legal agreements and only to project partners that have undergone a due diligence process. Continual monitoring during the project life-cycle will ensure the financial practices of partners are in accordance with UN-system rules and standards.

Economic sustainability The project design takes into account Safeguard Standard 9 on Economic Sustainability of the ESES framework of UN Environment. Adhering to this standard, the project seeks to avoid negative economic consequences during and after project implementation, especially for vulnerable and marginalized social groups in targeted communities and that benefits are socially-inclusive and sustainable. For this, the project will promote, as part of its design, planning, implementation and monitoring, the financial sustainability of the activities implemented, also including those that will occur beyond the project intervention period. The Secretariat will also consider the full economic costs of various project modality options and undertake approaches that do not generate long-term economic burdens at the expense of short term gains for subsets of a population. Also, the project considers various project modality options and undertake approaches that do not generate welfare disparities, especially for the poor, during or beyond the project intervention period.

Post-project sustainability The project and its components have been developed in such a way to ensure the partner countries assume ownership of the project and its impacts. Project preparation phases for all components include targeted consultations with key stakeholders to ensure their buy in and to ensure they shape the architecture of the project and are committed to its success. The activities in all three components are concrete and designed to have long-lasting impacts, and put in place frameworks and infrastructure to: control transboundary movements of plastic waste; ensuring its environmentally sound management; and promote its prevention and minimization. Previous projects implemented by BRS have also shown that having a regional presence through the Basel and Stockholm Convention regional and coordinating centres strengthens partnerships with project countries and ensures ongoing collaboration long after the project activities have been implemented.

8. Coordination and alignment with other major actors and initiatives within marine litter and microplastic in the geographical area of the project The Basel, Rotterdam and Stockholm conventions are multilateral environmental agreements hosted and administered under UNEP. The financial and administrative management of the three conventions are governed by the UN and the UNEP and the BRS regulations, rules and procedures. UNEP and BRS follow the International Public Sector Accounting Standards (IPSAS). The project will be implemented in collaboration with the Basel and Stockholm conventions Regional Centres and in cooperation and coordination with other international organizations, governments and non-governmental organizations, in particular with the United Nations Environment Programme, including Special Programme and Strategic Approach to International Chemicals Management. In particular, the project will ensure its activities build on and take into account, as relevant, the work of NORAD partners on marine litter (e.g. Problue). As addressing the issue of marine litter and microplastics involves several actors and initiatives, it is particularly important to ensure coordination and alignment with those major actors and initiatives within marine litter and microplastic in the geographical area of the project, such as UNEP, World Bank and relevant regional governmental bodies. The project will ensure coordination and alignment with other major actors including through close communication, sharing of interim outputs, invitation to provide comments on draft materials, participate in training events. ______