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Review of the Arrangements Adopted Pursuant to the “Synergies Decisions” on Cooperation and Coordination Among the Basel, Rotterdam and Stockholm Conventions

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Review of the Arrangements Adopted Pursuant to the “Synergies Decisions” on Cooperation and Coordination Among the Basel, Rotterdam and Stockholm Conventions Food and Agriculture United Nations Organization of the United Environment Programme Nations (FAO) (UNEP) Review of the arrangements adopted pursuant to the “Synergies Decisions” on cooperation and coordination among the Basel, Rotterdam and Stockholm Conventions Lee Alexander Risby Teresa Amador UNEP and FAO Evaluation Offices February 2013 Review of the Synergies Decisions on Cooperation and Coordination among the Basel, Rotterdam and Stockholm Conventions February 2013 Acknowledgements and Disclaimer Thanks are due to Segbedzi Norgbey, Pauline Marima and Michael Spilsbury of the UNEP Evaluation Office, and Ashwin Bhouraskar of FAO Evaluation Office for their guidance during the inception and implementation phase of the review and also to the Secretariat of the Basel, Rotterdam and Stockholm Conventions for their assistance. The review team express gratitude to all stakeholders who responded to requests to be interviewed during the implementation phase, including the representatives of Parties, and FAO Regional Offices and BC and SC Regional Centres. The review has benefited from the comments provided by the advisory panel members (in alphabetic order): Anna Ortiz – National Coordinator for the National Information System for the Integral Management of Chemical Substances, Ministry of Environment, Costa Rica Juha Uitto – Deputy Director of UNDP Evaluation Office Maria Ivanova – Associate Professor of Governance, University of Massachusetts, Boston Niek van der Graaf – Former Chief of FAO Plant Protection Service Robert Choog Kwet-Yive – Professor of Chemistry, University of Mauritius The views expressed in this paper are those of the consultants and the independent FAO and UNEP Evaluation Offices and should not be attributed to the FAO, UNEP and the Convention Secretariats or any other stakeholders. Page 2 of 105 Review of the Synergies Decisions on Cooperation and Coordination among the Basel, Rotterdam and Stockholm Conventions February 2013 Table of contents Acknowledgements and Disclaimer 2 Acronyms and Abbreviations 4 Executive Summary 7 1 Background and Context 12 1.1 Introduction 12 1.2 Historical Overview of the Synergies Process 12 1.3 The Synergies 13 2 Objectives, Scope and Methodology 18 2.1 Objectives and Scope 18 2.2 Key Questions 19 2.3 Approach and Methodology 20 2.4 Review Limitations 28 3 Findings 30 3.1 Relevance 30 3.2 Effectiveness & Impact 34 3.3 Efficiency 56 3.4 Sustainability 59 4 Conclusions and Recommendations 64 Annex A Synergies Timeline 69 Annex B Synergies Obligations 72 Annex C Review Matrix 76 Annex D Documents Reviewed 81 Annex E List of Stakeholders Interviewed 91 Annex F Protocols for Interviews (example) 94 Annex G Survey Questionnaire 101 Page 3 of 105 Review of the Synergies Decisions on Cooperation and Coordination among the Basel, Rotterdam and Stockholm Conventions February 2013 Acronyms and Abbreviations AHJWG Ad-hoc Joint Working Group ASB Administrative Service Branch BAT / BEP Best Available Techniques / Best Environmental Practices BC Basel Convention BOA Board of Auditors CA Competent Authority (of the Basel Convention) CEITs Countries with Economies in Transition CHM Clearing-house mechanism CIEN Chemical Information Exchange Network COB Conventions Operations Branch COP Conference of the Parties CRC Chemical Review Committee of the Rotterdam Convention DNA Designated National Authority (of the Rotterdam Convention) Ex-COPs Extraordinary meetings of the COPs FAA Finance, Administration and Audit FAO Food and Agriculture Organization JIS Joint Information Service JLS Joint Legal Service JRMS Joint Resource Mobilisation Service GCI Green Customs Initiative GEF Global Environment Facility GENASIS Global Environmental Assessment Information System GRULAC Group of Latin American and Caribbean Countries IPEN International POPs Elimination Network IPCC Intergovernmental Panel on Climate Change ITS Information Technology Service Page 4 of 105 Review of the Synergies Decisions on Cooperation and Coordination among the Basel, Rotterdam and Stockholm Conventions February 2013 MEAs Multilateral Environmental Agreements MOU Memorandum of Understanding NGOs Non-governmental organisations NIPs National Implementation Plans OCP Official Contact Points (of the Stockholm Convention) ODS Ozone Depleting Substances OECD-DAC Organization for Economic Cooperation & Development – Development Assistance Committee OEWG Open-ended Working Group of the Basel Convention OIOS UN Office of Internal Oversight Services QSP Quick Start Programme Party(-ies) Sovereign states or political and / or economic integration organization who have ratified the Conventions PIC Prior Informed Consent PMS Pesticide Stock Management System POPs Persistent Organic Pollutants POPRC Persistent Organic Pollutants Review Committee of the Stockholm Convention RC Rotterdam Convention ReC(s) Regional Centres RM Resource Mobilisation ROs Regional Offices (FAO or UNEP) SAICM Strategic Approach to International Chemicals Management SC Stockholm Convention SOP Standard Operating Procedure SPC Safe Planet Campaign SSB Scientific Support Branch TAB Technical Assistance Branch TOC Theory of Change Page 5 of 105 Review of the Synergies Decisions on Cooperation and Coordination among the Basel, Rotterdam and Stockholm Conventions February 2013 TOR Terms of Reference UNDESA United Nations Department for Economic and Social Affairs UNDP United Nations Development Programme UNEP United Nations Environment Programme UNIDO United Nations Industrial Development Organization UNITAR United Nations Institute for Training and Research UNOG United Nations Office at Geneva WCO World Customs Organization WHO World Health Organisation WSSD World Summit on Sustainable Development Page 6 of 105 Review of the Synergies Decisions on Cooperation and Coordination among the Basel, Rotterdam and Stockholm Conventions February 2013 Executive Summary The report consists of four sections: the first section provides a descriptive overview of the synergies process and decisions; the second details the objectives, scope, methodology and review limitations; the third section presents findings, responding to the key questions of the review; the fourth section provides conclusions and recommendations. Background The initial discussions on the synergies between the Basel, Rotterdam and Stockholm Conventions and chemicals management in general began following the World Summit on Sustainable Development (WSSD) in 2002 within the UNEP Governing Council. Discussions continued until the synergies process started in 2005 when Parties to the three Conventions decided to explore further the issue and requested the Secretariats to prepare studies on how to improve synergies among the three Conventions and other relevant programmes. The studies and the recommendations of the Ad-hoc Joint-Working Group, established in 2006, resulted in the first synergies decisions adopted by the Conference of the Parties (COP) of the three Conventions in 2008 – 2009 and were further developed by the Ex-COP “omnibus decision”1 on the following thematic areas: (i) Joint activities; (ii) Joint managerial functions; (iii) Joint services; (iv) Synchronisation of budget cycles; (v) Joint audits; and (vi) Review arrangements. The omnibus decision called upon Parties, other stakeholders and the Secretariats to undertake cooperative and coordinated activities to implement the synergies decisions at all levels and to establish the joint services on a permanent basis. In 2011, the COP to the three Conventions further decided to establish a joint Executive head function of the Basel Convention Secretariat, the Stockholm Convention Secretariat and the United Nations Environment Programme part of the Rotterdam Convention Secretariat. The joint Executive Secretary was appointed in April 2011 and was granted a mandate to develop a proposal for the modification of the organization of the three Secretariats2 administered by UNEP. Parties also adopted identical decisions to further enhance cooperation and coordination for 2012-2013 which, among others, adopted joint activities for inclusion in the programmes of work of the secretariats of the three conventions.3 The Executive Secretary developed a proposal to create a single Secretariat for the UNEP parts to serve the three Conventions, which was circulated at the end of 2011 and began implementation in early 2012. Objectives, Scope and Methodology The review was undertaken between March and August 2012 with the objectives of examining: (a) The extent to which processes for enhancing cooperation and coordination have taken into account global concerns and responded to the specific needs of developing countries and CEITs; (b) The extent to which actions taken to enhance coordination and cooperation have helped to strengthen: (i) The implementation of the three Conventions at the national, regional and global levels; (ii) Promoted coherent policy guidance; (iii) Enhanced efficiency the provision of support to Parties with a view to reducing administrative burden and maximizing the effective and efficient use of resources at all levels; and (c) Whether enhanced coordination and cooperation among the three Conventions have 1 Decisions BC.Ex-1/1, RC.Ex-1/1 and SC.Ex-1/1 (February 2010). 2 Basel and Stockholm Conventions are UNEP entities and the Rotterdam Secretariat is split between UNEP and FAO. The combined Secretariat applied to UNEP administered Secretariats only. 3 Annex I to Decision SC-5/27 (April 2011); Decision RC-5/12 (June 2011); Decision BC-10/29 (October
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