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BASEL, ROTTERDAM AND STOCKHOLM CONVENTIONS Secretariats of the Basel, Rotterdam and Stockholm Conventions Secretariat of the Rotterdam Convention United Nations Environment Programme Food and Agriculture Organization of the United Nations Office Address: International Environment House 1 Viale delle Terme di Caracalla, 00153 Rome, Italy 11–13, chemin des Anémones, 1219 Châtelaine, Geneva, Switzerland Tel.: +39 06 5705 2061 ¦ Fax: +39 06 5705 3224 ¦ E-mail: [email protected] Postal Address: c/o Palais des Nations, 8-14, avenue de la Paix, 1211 Geneva 10, Switzerland Tel.: +41 (0) 22 917 8271 ¦ Fax: +41 (0) 22 917 8098 ¦ E-mail: [email protected] 20 December 2022 Subject: Proposal by the Executive Director of the United Nations Environment Programme to amend the memorandums of understandings between the respective conferences of the Parties to the Basel, Rotterdam and Stockholm conventions and the Executive Director of the United Nations Environment Programme and, for the Rotterdam Convention, the Director General of the Food and Agriculture Organization of the United Nations Dear Madam/Sir, The purpose of this letter is to communicate to the Parties to the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal, the Parties to the Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade and the Parties to the Stockholm Convention on Persistent Organic Pollutants the text of a proposal by the Executive Director of the United Environment Programme to amend the annex to the memorandums of understandings between the respective conferences of the Parties and the Executive Director of the United Nations Environment Programme and, for the Rotterdam Convention, the Director General of the Food and Agriculture Organization of the United Nations, entitled “UNEP’s core services in support of the Basel, Rotterdam and Stockholm conventions”. Pursuant to paragraph 48 of the Basel Convention memorandum of understanding, paragraph 58 of the Rotterdam Convention memorandum of understanding and paragraph 48 of the Stockholm Convention memorandum of understanding, each memorandum of understanding may, at the request of the Parties to it, be reviewed at any time, including with a view to amending or terminating it. Without prejudice to the rules of procedure for meetings of the Conference of the Parties, such a request, to be made by the Bureau on behalf of the Conference of the Parties or by the Executive Director will be made at least 4 (four) months in advance and will then be addressed at the next meeting of the Conference of the Parties. Any modifications to, including termination of, the memorandum of understanding will be mutually agreed in writing between the Parties to it. Attached to the present letter are: • The 14 December 2022 letters from the Executive Director of UNEP to the respective President of the conferences of the Parties informing them of the proposed amendments; • The report of the Executive Director of the United Nations Environment Programme to the 2023 meetings of the Conferences of the Parties to the Basel, Rotterdam and Stockholm Conventions on the implementation of the memorandums of understanding setting out, in its section II and Annex I, the proposed amendments; • The proposed amendments to the annex “UNEP’s core services in support of the Basel, Rotterdam and Stockholm conventions” to each of the three memorandums of understanding in track changes, prepared by the Secretariat for the convenience of the Parties. Secretariat of the Basel, Rotterdam and Stockholm Conventions Page | 2 The proposal will be considered at the forthcoming meetings of the conferences of the Parties scheduled to take place from 1 to 12 May 2023 in Geneva, Switzerland. Yours sincerely, Rolph Payet Rémi Nono Womdim Executive Secretary of the Basel, Rotterdam Executive Secretary of the Rotterdam and Stockholm Conventions Convention Executive Office Reference: UNEP/BRS COPs/MOUs/KC/rn 14 December 2022 Dear Ms. Gardiner, I refer to the identical decisions taken at the fifteenth meeting of the Conference of the Parties to the Basel Convention, tenth meeting of the Conference of the Parties to the Stockholm Convention, and tenth meeting of the Conference of the Parties to the Rotterdam Convention (6-17 June 2022) requesting the Executive Director of UNEP to comply with the Memorandums of Understanding between the United Nations Environment Programme and each Conference of the Parties in particular with regard to core services costs to be supported by UNEP pursuant to the Annex to each Memorandum of Understanding (decisions BC-15/30, RC-10/19 and SC-10/26). Since the coming into effect of each Memorandum of Understanding (MoU) in 2019, I have been reporting on the compliance of these agreements to the Conference of the Parties. On the specific point about core services costs to be supported by UNEP and described in the respective Annex to each MoU and considering the aspects raised at the last Conference of the Parties of each Convention, I appreciate the need to further explain which costs fall under UNEP’s share of the Programme Support Cost (PSC). Following internal consultations and exchange of views with Mr. Rolph Payet, BRS Conventions Executive Secretary, as a way forward, I would like to suggest signing an amendment to the MOUs with each of the three conventions to clarify the services covered by the 33% share of the PSC that UNEP retains. In this regard, please find attached the proposed amendment noting that Common Services and Security Costs related to the BRS Office in Geneva are excluded from UNEP’s share of the PSC. I look forward to our fruitful and continued cooperation. Yours sincerely, Sonja Leighton-Kone Acting Deputy Executive Director Ms. Keima Gardiner President of the eleventh meeting of the Conference of the Parties to the Stockholm Convention cc: Mr. Rolph Payet, Executive Secretary, Basel Rotterdam Stockholm Convention Ms. Sonja Leighton-Kone, Acting Deputy Executive Director/UNEP & Director, Corporate Services Division/UNEP United Nations Avenue, Gigiri PO Box 30552 – 00100, Nairobi, Kenya Tel: +254 207621234 | [email protected] www.unep.org 1 Track change version of the proposal by the Executive Director of UNEP to amend the annex, respectively annex I, to the memorandums of understanding between the respective conferences of the Parties, the Executive Director of UNEP and, for the Rotterdam Convention, the Director General of FAO, for consideration during the 2023 meetings of the conferences of the Parties [English only] UNEP’s core central administrative services in support of the Basel, Rotterdam, and Stockholm conventionsConventions The table below provides Subsequent to the list of coredecision of the Parties to BRS at the July 2022 COPs, UNEP CSD has reviewed and clarified the central administrative and support services provided by United Nations Environment Programme (UNEP)UNON and UNEP/CSD in support of the Basel, Rotterdam and Stockholm (BRS) conventions. Core administrative and support services are those services providedConventions. The cost of these services is covered by UNEP against the 33% share of the programme support costsProgramme Support Cost income attributable to all of the trust funds of . The table below provides an updated list of the BRS conventions.services, also included in the letter from the Executive Director of UNEP suggesting the amendments to the MOUs and their respective annex. The list of corecentral administrative services is not exhaustive and may include additional core services, as mutually agreed from time to time between UNEP and the Secretariat of the BRS conventionsConventions. The table below is without prejudice to the delegation of authority from the Executive Director of UNEP to the Executive Secretary of the BRS conventionsBasel, Rotterdam, and Stockholm Conventions. Service Category Description Policy, guidelines, and All policies concerning administrative arrangements are governed by the United Nations procedures General Assembly resolutions and those of United Nations Environment Programme’s governing body. United Nations Financial Regulations and Rules (UNFRR) supplemented by Multilateral Environmental Agreements’ and entities’ financial procedures, or rules ensure effective and efficient use of resources in accordance with the purposes for which funds are provided, within authorized limits and available income. The United Nations Financial Regulations and RulesThe UNFRR also regulate the organization’s procurement activities. United Nations Staff Regulations and Rules UNFRR set the framework within which United Nations Environment Programme’sUNEP’s personnel, including different categories of staff members, consultants and independent contractors, are recruited and administered. United Nations Secretariat policies supplement and provide details on the implementation of the resolutions and regulations. They are embodied in United Nations administrative issuances i.e. Secretary-General’s Bulletins, Administrative Instructions and Information Circulars which may be further interpreted and translated into guidelines and procedures for day to day operations. Human Resources Recruitment, staff administration, training, and performance management and medical and counselling services.. Talent Acquisition and Developing staffing plans and implementing related recruitment activities namely Management classification, vacancy announcement, oversight of assessments, evaluation, review and selection. to ensure that all actions are in line with UN Regulations and Rules. Staff Administration For staff administered by UNON: On- boarding of staff, administering contracts, processing entitlements and benefits, review and update of dependency status, leave records, lateral move, separation from service etc. . Administering end-of-service and post-retirement benefits including pension fund deductions and After Service Health Insurance scheme. Staff development and training MandatoryAdministering of mandatory training of personnel on issues such as security, ethics and integrity, competency based interviewing skills, management development programme etc. Identify capacity building needs and provide opportunities for continuous learning with a view to build a multi-skilled workforce promoting career development for staff. These  Service Category Description include in-house developed training modules on Results Based Management and Gender Mainstreaming, among others. Including the arrangement of training opportunities for UNEP Geneva colleagues. Performance Management Implementing and monitoring compliance with performance management policies, process and tools (INSPIRA) to reward/recognize/retain staff and address underperformance. Supporting rebuttal process guidance and conducting training on writing workplans and performance assessments. Managing the Financial Disclosure programme. Medical and Counselling Services Providing occupational health services with emphasis on preventive health care and emergency response. Also includes professional counselling service to address issues such as stress, burnout, depression etc. UN Cares, the UN system-wide program on HIV, is designed to reduce the impact of HIV in the UN workplace. Budget and Finance Preparation Review, management, oversight and reporting of budgets and financial resources of the governing bodies and donors. Budgeting / Fund Management Preparation, presentation and justification of Review budgets prepared by the BRS Secretariat and present recommendations to the BRS Secretariats. Identify governing bodies. Processing budgetary authorizationsthe programme support revenue mobilized by BRS in the Overhead Trust Account, calculate BRS share and submit annual budget for approval by UNEP Executive Director (ED). Record allocations upon ED approval. Evaluating the financial transactions. Advising staff, managementviability of operations funded by the Overhead Trust Account and governing bodies on the use of financial resourceswork closely with BRS to ensure budgets are in line with allocations issued. Issue periodic reports, forecast spending to predict likely outcomes. Creating, maintaining Create, review, and closingclose Trust Funds. General Accounting / Financial Authority to sign Preparation and issuance of the consolidated financial statements rests Statements withof the Executive Director. Extracts from the consolidated statements are signed by UNON.BRS trust funds. Preparation and issuance of donor financial reports. Maintenance of accounts and preparation of Financial Statements including the Programme Support account. Processing accounting entries/adjustments including donor refunds; year- end accruals; statutory reporting and support to the annual external audit.. Payments / Expenditure Processing the disbursement of payments to Implementing Partners, consultants, vendors and meeting participants. Monitoring advances and compliance to recording of expenditures from Implementing Partner financial reports received from Implementing Partners.submitted to BRS. Payroll Processing payment of salaries, entitlements and related advances and maintenance of payroll accounts. Maintenance of Umoja Organizational Management (OM) records to facilitate proper accounting for payroll expenses. Contributions /Cash Management Authority to accept contributions from the Parties rests with the United Nations Environment Programme Executive Director. IssuingIssuance of invoices to Parties, recording and monitoring contribution receivables, processing contributions upon receipt of payments; reconciling applied deposit accounts. Issuance of receipts/acknowledgement letters of contributions on a need basis. Reconciliation of the member states receivables, contributions and unpaid balances. Answering queries raised by BRS member states on the contributions to the trust funds. Treasury/Banking/ Investment Receipt and disbursement of funds, House Bank management, bank reconciliations. Maintenance of banking details for staff, vendors, implementing partners and consultants. Investment of United Nations Environment ProgrammeUNEP funds in the right products is managed by UNHQ Treasury. 2 Service Category Description Oversight Coordinate internal audit, investigation, inspection and external audit. Support in providing responses to audit queries and coordinating the implementation of the audit recommendations. Statutory reporting and support to the annual external audit. Legal Legal advice, opinions and representation in the Internal Justice System. Advisory and Representation Provision of corporate legal advice and institutional support. Representing the organisation before the Management Evaluation Unit with regards to requests filed by staff members. Representing the organisation at the United Nations Dispute Tribunal (UNDT) and provision of support to the Office of Legal Affairs with regards to appeals filed at the United Nations Appeals Tribunal. Negotiating settlements of claims; provision of legal support and advice in mediation, conciliationreconciliation and arbitration. Legal and institutional support in disciplinary procedures; provision of legal advice in cases of alleged misconduct and relevant investigations. Reviewing and clearing Host Country Agreements and legal instruments in accordance with the Delegation of Authority Policy and Framework for the Management and Administration of Multilateral Environmental Agreements. Provision of legal advice on human resources issues e.g., interpretation of the Staff Regulations and Rules, advise on outside activities, separation from employment, settlements. Coordinating audits, inspections and evaluations undertaken by the Office of Internal Oversight Services. Providing advice on engaging with implementing partners, provision of templates for this purpose.. Support Services Services to support operations including office space, premises, host country arrangements and protocols. Contracts and Procurement Supervising procurement related functions and providing advice on procurement proposals of significant financial or operational impact; reviewing Deliberating on the proposed strategy/approach to best serve office’s interests. in line with standing procedures and UNFRR. Providing oversight over the service providers. Representation at the High Level Committee on Management Procurement Network on development of policies and procedures of interest to the office. Liaising with the contracts committee for the preparation and presentation of cases for approvalrecommendation and addressing to follow-up queries. Provision of general contract administration services including amendment, extension or closure. in consultation with the procurement office and BRS. Supply Chain training delivered by UNEP resources. Inventory / Asset Management Provision of services to manage inventory of equipment items and assets including bar coding, maintain records and track movement of items; conduct. Coordinate physical inventories; processverification exercised in compliance with UNFRR. Process the disposal of obsolete and unserviceable items.  Service Category Description Travel, Shipping and Visa Providing advice on developments in Secretariat travel policies and procedures. Processing travel for staff members, consultants and meeting participants for official purposes and staff entitlement related travel; management of travel agent contract and airline negotiations. Shipping services, handled through external vendors under contracts include all aspects of incoming and outgoing official shipments of organizational goods and property as well as staff members' personal effects during recruitment, transfer and separation. Host Country Relations In addition to administering the hosting agreement with the country of duty station, the services include re-entry passes of staff and dependents, consultants and interns; duty free import of goods and fuel; tax exemptions; registration of vehicles, issuance/renewal of driving licenses and transfer of ownership; processing special visa request in emergency situations and for VIPs. Facilities Management ProvisionAdvising on the provision of comfortable and efficient working environment for theBRS staff well as for the visitors by maintaining office premises including gardening and parking areas; utilities’ supply and maintenance of security systems. Mail Pouch Providing mail, diplomatic pouch and international courier services; dispatching outbound mail; sorting and delivering all incoming mail; advising on different mail services i.e postal, international express courier and diplomatic pouch, including but not limited to cost, transit days, document preparation, etc. Archives/Document Management Advising on and overseeing the implementation of policies for the management of archives in accordance with established archival standards and practices. Maintaining and managing archives. Security and Safety Protection of UN personnel and property by providing a safe and secure work environment and regular security advisories; issuance of IDs for staff and visitors to the UN offices. Enterprise Resource Programme Advising on all aspects of workflow analysis, business process reengineering and (ERP) – Umoja*** organizational transformation. Managing core transformational activities connected to the Umoja implementation and system life cycle. Providing training and guidance on Umoja functionality, access and modality for the execution of administrative processes. Enterprise Risk Management Implementation of the United Nations Secretariat ERM policy and framework, its (ERM) and Internal Controls monitoring and development. Advise on developments and activities related to the life cycle of ERM. Liaison Liaise directly with the UN Secretariat’s Department of Management for all issues relating to ERM and IC implementation and update of the ERM treatment plan. Information and Computing, telecommunications, office automation, infrastructure support including Communications Technology electronic mail as well as consulting, advisory and help desk services. ICT InfrastructureCorporate Provision of secure infrastructure services such as internet connectivity and WiFi access; intranet and servicesemail local area network and systems directory services; office computer, standard software productivity tools and security software; email, file storage and sharing, print, IP telephony; computer and video conference services. Provision of cloud and on-premise hosting services for websites, software applications, and databases. Access to corporate internet/intranet and mail systems.Provide access to UNEP corporate intranet and email systems. Software development and ProvidingOn as needed basis, providing advice from tactical, operational and strategic maintenance aspects with consideration to the specific needs of the office. Making recommendations on cost effective options e.g.., outsourcing or in-house IT services. Provision of customised / off the shelf software applications to support the specific needs of office. Help desk services Provision of local and global services to staff in resolving various IT related issues for the UN enterprise and UNEP corporate applications /systems. 4 *** Umoja project and maintenance costs are apportioned based on expenditure incurred and met by respective divisions and MEAs as common costs. These include service fees and costs associated with Umoja (such as license fees), requests raised through iNeed and any administrative costs associated with services provided by UNON and UNOG especially those that were delivered through OSC (travel, payment of invoices, HR/consultant services) Report of the Executive Director of the United Nations Environment Programme to the meetings of the Conferences of the Parties to the Basel, Rotterdam and Stockholm Conventions on the implementation of the Memorandums of Understanding. MOU IMPLEMENTATION OF ADMINISTRATIVE MATTERS Geneva 1st – 12th May 2023 INTRODUCTION This report is submitted by the Executive Director of the United Nations Environment Programme to the sixteenth Meeting of the Conference of the Parties to the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal, the eleventh Meeting of the Conference of the Parties to the Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade, and the eleventh Meeting of the Conference of the Parties to the Stockholm Convention on Persistent Organic Pollutants. The report highlights the support provided while implementing the Memoranda of Understanding between the Executive Director of the United Nations Environment Programme and the Basel, Rotterdam and Stockholm Conventions with regard to administrative and financial matters. I. ENHANCEMENTS TO UN SYSTEM-WIDE ENTERPRISE PLANNING TOOL, UMOJA Umoja is the Enterprise Resource Planning (ERP) tool that has been implemented in 2015 to process all administrative transactions within a common platform for the entire United Nations Secretariat. Umoja has been implemented in phases. Beginning 2021, additional modules were rolled out to complete the implementation of Umoja as a one-stop solution for all administrative processes. These modules, collectively known as the Integrated Planning and Management Reporting (IPMR) tool include: (a) budgeting tool (b) programmatic view that incorporates Sustainable Development Goals (SDGs) and Gender markers, (c) Management tools that measure and record performance as well as highlight any existing funding gaps and finally (d) Dashboards that present visualization tools of captured data for reporting purposes. UNEP will continue to engage the Conventions’ Secretariat to ensure adequate representation, training and incorporation of its requirements resulting in a successful implementation. The roll out of the Integrated Planning and Management Reporting tool has so far led to upward revision of Umoja license fees to be settled by respective Multilateral Environmental Agreements based on a cost distribution formula decided by United Nations Headquarters. Options will continue to be explored to contain this cost category but there may also be a need to consider transitioning some of these costs to the program budget. The United Nations Environment Programme in collaboration with UNHQ is rolling out trainings on IPMR to the staff members to enable them to use the tool in their day-to-day activities in managing programs and projects. MEA staff will attend the training in December 2022 in Geneva. Trained participants are expected to become part of a network of Change Champions that is intended to drive the capacity building and change management in their office and act as a self-supporting community of practice. The training aims to provide an understanding of the policies that underly the modules.  II. SUPPORT PROVIDED TO THE CONVENTION FROM PROGRAMME SUPPORT RESOURCES Following the decisions taken at the fifteenth meeting of the Conference of the Parties to the Basel Convention, tenth meeting of the Conference of the Parties to the Stockholm Convention, and tenth meeting of the Conference of the Parties to the Rotterdam Convention (6-17 June 2022) requesting the Executive Director of UNEP to comply with the Memorandums of Understanding between the United Nations Environment Programme and each Conference of the Parties in particular with regard to core services costs to be supported by UNEP, the list of services covered by UNEP’s portion of the Programme Support Cost has been reviewed and clarified as per Annex 1, included in the letter from the Executive Director of UNEP to the Presidents of the Conference of Parties of the respective conventions, dated xx December 2022, suggesting the amendments to the MOUs and the respective annex. UNEP is committed to the continuous review of the existing PSC policy to determine its adequacy in the sharing and apportionment of Programme Support Resources. Therefore, a review is planned where input will be sought from Conventions in anticipation of an updated document that takes into consideration emerging administrative developments. UNEP has planned to finalize this activity by the end of the Second quarter of 2023. Specific administrative and financial management support provided to the Secretariat of the Basel, Rotterdam and Stockholm Conventions (BRS) is described below. Audit The United Nations Board of Auditors (BOA) conducted an audit of the financial statements and reviewed the operations of UNEP Headquarters, the Secretariat of the BRS Conventions and two UNEP regional offices for the year ended 31 December 2020. As of end of 2022, only two recommendations regarding the BRS Conventions remain open: (a) Further consolidation and harmonization of BRS Conventions reports and a review of the report posting frequency on its website to ensure that parties are adequately informed of progress made in the use of resources and implementation of programme, (b) Review of BRS Conventions financial rules for adoption by the Conferences of Parties. The BRS Secretariat is working on closing both above mentioned recommendations. Drafted in coordination with UNEP, the proposed amendments to the financial rules are set out in annex II to the document for the 2023 meetings of the conferences of the Parties on programmes of work and budgets for the biennium 2024– 2025: combined proposal (UNEP/CHW.16/27–UNEP/FAO/RC/COP.11/22–UNEP/POPS/COP.11/28). Staff development and learning With regard to learning and development opportunities, UNEP has ensured that Conventions Secretariat staff are included in general trainings for programme management and leadership, diversity and inclusion, and training on new functionalities of the UN online recruitment and performance management system. BRS staff have also been included in the Lead and alternate requisitioner training programme. The Secretariat’s staff have been receiving monthly UNON Global Learning Calendar with additional learning and development opportunities and have received updated career support resources and programmes offered by the UN Secretariat and UNEP. Some of the examples include access to Career Webinars, mentoring network, career satisfaction framework, LinkedIn Learning and resources available through the United Nations System Staff College (UNSSC). In addition, the Secretariat’s staff participated in the inaugural Communications Academy which took place from 28 November to 1 December 2022 in a hybrid format. The objective of the academy was to strengthen the relationship and collaboration between UNEPs Communication Division and communication personnel in other divisions, regional offices, MEAs and other UNEP entities. Performance management The Executive Director of UNEP as the head of the UN entity has the primary responsibility for implementation of the performance management and development system, including timeliness, consistency, and fairness. The compliance of the BRS Secretariat has been monitored and by using the UNEP dashboard that has been implemented to meet the needs of senior managers. Training sessions have been held for all staff advising on recent developments of the UN Secretariat’s policy on Performance Management as well as new functionality of the Inspira tool. Human resources policies and guidelines UNEP has organized several sessions of knowledge sharing with the staff of the BRS Secretariat, including on the revised Staff selection system, understanding lateral moves, as well as the anticipated geographical mobility policy. Such sessions provide much needed channeling of information on the latest developments related to human resources within the UN Secretariat and give staff an opportunity to ask questions. Guidance on Next Normal After two challenging and unpredictable years marked by the global pandemic of COVID-19, UNEP’s Next Normal guidance, introduced on 16 September 2022, sets out the guiding principles for the Flexible Working Arrangements policy spotlighting sustainability, fostering flexibility and greater work-life balance, and rethinking the use of office space. Financial Statement preparation UNEP provided administrative guidelines supporting the implementation of 2022 UNON issued financial closing instructions and is in the process of coordinating collection of inputs for financial statement, e.g., in- kind contributions, commercial leases, refund accruals including validation of supporting schedules, and reviewing of draft financial statements. The Executive Director will provide certification of Final IPSAS- Compliant Financial Statements for the year ended 31 December 2022. Settlement of contributions The United Nations Secretariat adopted the International Public Sector Accounting Standards (IPSAS) in 2014. Umoja implements strict IPSAS-based liquidity management, which requires that cash be available for the settlement of payments. Parties are therefore encouraged to settle their assessed contributions in full early in the year to guarantee continuity of operations under BRS. Those Parties that are in arrears are requested to engage with the BRS Secretariat on settlement modalities. Legal advice and representation As part of corporate legal services provided to the BRS Secretariat, Legal Unit jointly with the Finance Unit conducted annual refresher training on legal instruments and finance related aspects of Cooperation Agreements, Implementation Agreements, as well as Host Country Meeting and Office Agreements, Publishing Agreements, Non-Disclosure Agreements and non-standard templates. UNEP is also working on a revised Partnership Policy for engaging various partners, and has established a working group, including colleagues from the BRS Secretariat. Archives/Document Management As the electronic work environment has become more prevalent during the pandemic, it has become essential to redesign the Organization’s record management to support a digital archiving system and structure. UNEP is in the process of developing a retention policy for existing hardcopy files and for electronic documents/archives, and recently shared a survey to the BRS focal point regarding their specific needs in documents management and archiving. UNEP will continue advising on and overseeing the implementation of policies for the management of archives in accordance with established archival standards and practices. Enterprise Risk Management (ERM) UNEP has started work on implementation of the United Nations Secretariat ERM policy and framework, its monitoring and development. Risk focal points have received training and have completed work on the Risk Registers. Following further training on Risk Mitigation, the focal points under UNEP guidance will develop Risk Treatment Plans. Support services During the reporting period, UNEP has issues updated Travel Guidelines in follow-up to a consultative process on feedback received and building on lessons learned from the previous guidance and taking into account the UN Secretariat’s guidelines as well as the COVID-10 pandemic. An important point of the guidelines is considering the reduction of carbon footprint and reducing carbon air travel footprint while continuing to deliver on mandate. Supervision of buyer function and other procurement related functions were conducted during the reporting period, and advice was provided on procurement proposals of significant financial or operational impact, as well as waivers of competitive bidding. Services related to approving waivers were also The Supply Chain Team coordinated identifying of procurement needs for 2022 and 2023. Annex 1 UNEP’s central administrative services in support of the Basel, Rotterdam, and Stockholm Conventions Subsequent to the decision of the Parties to BRS at the July 2022 COPs, UNEP CSD has reviewed and clarified the central administrative and support services provided by UNON and UNEP/CSD in support of the Basel, Rotterdam and Stockholm (BRS) Conventions. The cost of these services is covered by the 33% share of the Programme Support Cost income. The table below provides an updated list of the services, also included in the letter from the Executive Director of UNEP suggesting the amendments to the MOUs and their respective annex. The list of central administrative services is not exhaustive and may include additional services, as mutually agreed from time to time between UNEP and the Secretariat of the BRS Conventions. The table below is without prejudice to the delegation of authority from the Executive Director of UNEP to the Executive Secretary of Basel, Rotterdam, and Stockholm Conventions. Service Category Description Policy, guidelines, and All policies concerning administrative arrangements are governed by the United Nations procedures General Assembly resolutions and those of United Nations Environment Programme’s governing body. United Nations Financial Regulations and Rules (UNFRR) supplemented by Multilateral Environmental Agreements’ and entities’ financial procedures, or rules ensure effective and efficient use of resources in accordance with the purposes for which funds are provided, within authorized limits and available income. The UNFRR also regulate the organization’s procurement activities. UNFRR set the framework within which UNEP’s personnel, including different categories of staff members, consultants and independent contractors, are recruited and administered. United Nations Secretariat policies supplement and provide details on the implementation of the resolutions and regulations. They are embodied in United Nations administrative issuances i.e. Secretary-General’s Bulletins, Administrative Instructions and Information Circulars which may be further interpreted and translated into guidelines and procedures for day to day operations. Human Resources Recruitment and performance management. Talent Acquisition and Developing staffing plans and implementing related recruitment activities namely Management classification, vacancy announcement, oversight of assessments, evaluation, review and selection to ensure that all actions are in line with UN Regulations and Rules. Staff Administration For staff administered by UNON: On boarding of staff, administering contracts, processing entitlements and benefits, review and update of dependency status, leave records, lateral move, separation from service. Administering end-of-service and post-retirement benefits including pension fund deductions and After Service Health Insurance scheme. Staff development and training Administering of mandatory training of personnel on issues such as security, ethics and integrity, competency based interviewing skills, management development programme etc. Performance Management Implementing and monitoring compliance with performance management policies, process and tools (INSPIRA) to reward/recognize/retain staff and address underperformance. Supporting rebuttal process guidance and conducting training on writing workplans and performance assessments. Managing the Financial Disclosure programme. Budget and Finance Review, management, oversight and reporting of budgets and financial resources of the governing bodies and donors. Budgeting / Fund Management Review budgets prepared by the BRS Secretariat and present recommendations to the BRS Secretariats. Identify the programme support revenue mobilized by BRS in the Overhead Trust Account, calculate BRS share and submit annual budget for approval by UNEP Executive Director Service Category Description (ED). Record allocations upon ED approval. Evaluating the financial viability of operations funded by the Overhead Trust Account and work closely with BRS to ensure budgets are in line with allocations issued. Issue periodic reports, forecast spending to predict likely outcomes. Create, review, and close Trust Funds. General Accounting / Financial Preparation and issuance of the financial statements of the BRS trust funds. Statements Preparation and issuance of donor financial reports. Maintenance of accounts including the Programme Support account. Processing accounting entries/adjustments including donor refunds; year-end accruals. Payments / Expenditure Processing the disbursement of payments to Implementing Partners, consultants, vendors and meeting participants. Monitoring advances and compliance to recording of expenditures from Implementing Partner financial reports submitted to BRS. Payroll Processing payment of salaries, entitlements and related advances and maintenance of payroll accounts. Maintenance of Umoja Organizational Management (OM) records to facilitate proper accounting for payroll expenses. Contributions /Cash Management Issuance of invoices to Parties, recording and monitoring contribution receivables, processing contributions upon receipt of payments; reconciling applied deposit accounts. Issuance of receipts/acknowledgement letters of contributions on a need basis. Reconciliation of the member states receivables, contributions and unpaid balances. Answering queries raised by BRS member states on the contributions to the trust funds. Treasury/Banking/ Investment Receipt and disbursement of funds, House Bank management, bank reconciliations. Maintenance of banking details for staff, vendors, implementing partners and consultants. Investment of UNEP funds in the right products is managed by UNHQ Treasury. Oversight Coordinate internal audit, investigation, inspection and external audit. Support in providing responses to audit queries and coordinating the implementation of the audit recommendations. Statutory reporting and support to the annual external audit. Legal Legal advice, opinions and representation in the Internal Justice System. Advisory and Representation Provision of corporate legal advice and institutional support. Representing the organisation before the Management Evaluation Unit with regards to requests filed by staff members. Representing the organisation at the United Nations Dispute Tribunal (UNDT) and provision of support to the Office of Legal Affairs with regards to appeals filed at the United Nations Appeals Tribunal. Negotiating settlements of claims; provision of legal support and advice in mediation, reconciliation and arbitration. Legal and institutional support in disciplinary procedures; provision of legal advice in cases of alleged misconduct and relevant investigations. Reviewing and clearing Host Country Agreements and legal instruments in accordance with the Delegation of Authority Policy and Framework for the Management and Administration of Multilateral Environmental Agreements. Provision of legal advice on human resources issues e.g., interpretation of the Staff Regulations and Rules, advise on outside activities, separation from employment, settlements. Providing advice on engaging with implementing partners. Service Category Description Support Services Services to support operations including office space, premises, host country arrangements and protocols. Contracts and Procurement Supervising procurement related functions and providing advice on procurement proposals of significant financial or operational impact Deliberating on the proposed strategy/approach to best serve office’s interests in line with standing procedures and UNFRR. Providing oversight over the service providers. Representation at the High Level Committee on Management Procurement Network on development of policies and procedures of interest to the office. Liaising with the contracts committee for the presentation of cases for recommendation and addressing follow-up queries in consultation with the procurement office and BRS. Supply Chain training delivered by UNEP resources. Inventory / Asset Management Provision of services to manage inventory of equipment items and assets. Coordinate physical verification exercised in compliance with UNFRR. Process the disposal of obsolete and unserviceable items. Travel, Shipping and Visa Providing advice on developments in Secretariat travel policies and procedures. Facilities Management Advising on the provision of comfortable and efficient working environment for BRS staff. Archives/Document Management Advising on and overseeing the implementation of policies for the management of archives in accordance with established archival standards and practices. Enterprise Resource Programme Advising on all aspects of workflow analysis, business process reengineering and (ERP) – Umoja organizational transformation. Managing core transformational activities connected to the Umoja implementation and system life cycle. Providing training and guidance on Umoja functionality, access and modality for the execution of administrative processes. Enterprise Risk Management Implementation of the United Nations Secretariat ERM policy and framework, its (ERM) and Internal Controls monitoring and development. Advise on developments and activities related to the life cycle of ERM. Liaise directly with the UN Secretariat’s Department of Management for all issues relating to ERM and IC implementation and update of the ERM treatment plan. Information and Computing, telecommunications, office automation, infrastructure support including Communications Technology electronic mail as well as consulting, advisory and help desk services. Corporate intranet and email Provide access to UNEP corporate intranet and email systems. Software development and On as needed basis, providing advice from tactical, operational and strategic aspects with maintenance consideration to the specific needs of the office. Making recommendations on cost effective options e.g., outsourcing or in-house IT services. Service Category Description Provision of customised / off the shelf software applications to support the specific needs of office. Help desk services Provision of local and global services to staff in resolving various IT related issues for the UN enterprise and UNEP corporate applications /systems. ____________________ Executive Office Reference: UNEP/BRS COPs/MOUs/KC/rn 14 December 2022 Dear Ms. Berejian, I refer to the identical decisions taken at the fifteenth meeting of the Conference of the Parties to the Basel Convention, tenth meeting of the Conference of the Parties to the Stockholm Convention, and tenth meeting of the Conference of the Parties to the Rotterdam Convention (6-17 June 2022) requesting the Executive Director of UNEP to comply with the Memorandums of Understanding between the United Nations Environment Programme and each Conference of the Parties in particular with regard to core services costs to be supported by UNEP pursuant to the Annex to each Memorandum of Understanding (decisions BC-15/30, RC-10/19 and SC-10/26). Since the coming into effect of each Memorandum of Understanding (MoU) in 2019, I have been reporting on the compliance of these agreements to the Conference of the Parties. On the specific point about core services costs to be supported by UNEP and described in the respective Annex to each MoU and considering the aspects raised at the last Conference of the Parties of each Convention, I appreciate the need to further explain which costs fall under UNEP’s share of the Programme Support Cost (PSC). Following internal consultations and exchange of views with Mr. Rolph Payet, BRS Conventions Executive Secretary, as a way forward, I would like to suggest signing an amendment to the MOUs with each of the three conventions to clarify the services covered by the 33% share of the PSC that UNEP retains. In this regard, please find attached the proposed amendment noting that Common Services and Security Costs related to the BRS Office in Geneva are excluded from UNEP’s share of the PSC. I look forward to our fruitful and continued cooperation. Yours sincerely, Sonja Leighton-Kone Acting Deputy Executive Director Ms. Ana Berejian President of the eleventh meeting Conference of the Parties to the Rotterdam Convention cc: Mr. Rolph Payet, Executive Secretary, Basel Rotterdam Stockholm Convention Ms. Sonja Leighton-Kone, Acting Deputy Executive Director/UNEP & Director, Corporate Services Division/UNEP United Nations Avenue, Gigiri PO Box 30552 – 00100, Nairobi, Kenya Tel: +254 207621234 | [email protected] www.unep.org 1 Saatja: BRS Secretariat (No-Reply) <[email protected]> Saadetud: 22.12.2022 13:21 Teema: Proposal by the Executive Director of UNEP to amend the memorandums of understandings between the respective conferences of the Parties to the BRS conventions and the ED of the UNEP and, for the Rotterdam Convention, the Director General of FAO Manused: BRS Letter to Parties communicating the UNEP ED proposal to amend the MoUs.pdf; Letter to BRS Presidents - Ms. Berejian- RC-SLK.pdf; Letter to BRS Presidents - Ms. Gardiner - SC-SLK.pdf; Letter to BRS Presidents - Mr. Hernaus - BC-SLK.pdf; track change version of the UNEP ED proposed amendments to the annex to the MoUs.pdf; UNEP-ED_Report to BRS_Conventions+SLK.pdf Dear Sir, dear Madam, Please find attached a letter from the Executive Secretaries transmitting a proposal by the Executive Director of UNEP to amend the memorandums of understandings between the respective conferences of the Parties to the BRS conventions and the Executive Director of the UNEP and, for the Rotterdam Convention, the Director General of FAO. The proposal is to be addressed at the next meetings of the Conferences of the Parties (1-12 May 2023). Kind regards, Secretariat of the Basel, Rotterdam and Stockholm conventions Executive Office Reference: UNEP/ BRS COPs / MOUs / KC/ rn 14 Decem ber 2022 Dear Mr. Hernaus , I refer to the identical decis ions taken at the fifteenth m eeting of the Conference of the Pa rties to the Bas el Convention, tenth m eeting of the Conference of the Parties to the Stockholm Convention, and tenth m eeting of the Conference of the Parties to the Rotterdam Convention (6-17 J une 2022) reques ting the Executive Director of UNEP to comply with the Memorandums of Unders tanding between the United Nations Environment Programme and each Conference of the Parties in particular with regard to core s ervices cos ts to be s upported by UNEP purs uant to the Annex to each Memorandum of Unders tanding (decis ions BC-15/ 30, RC-10/ 19 and SC-10/ 26). Since the com ing into effect of each Mem orandum of Unders tanding (MoU) in 2019, I have been reporting on the com pliance of thes e agreem ents to the Conference of the Parties . On the s pecific point about core s ervices cos ts to be s upported by UNEP and des cribed in the res pective Annex to each MoU and cons idering the as pects rais ed at the la s t Conference of the Parties of each Convention, I appreciate the need to further explain which cos ts fa ll under UNEP’s s hare of the Program m e Support Cos t (PSC). Following internal cons ultations and exchange of views with Mr. Rolph Payet, BRS Conventions Executive Secretary, as a way forward, I would like to s ugges t s igning an am endm ent to the MOUs with each of the three conventions to clarify the s ervices covered by the 33% s hare of the PSC that UNEP retains . In this regard, pleas e find attached the propos ed am endm ent noting that Com m on Services and Security Cos ts related to the BRS Office in Geneva are excluded from UNEP’s s hare of the PSC. I look forwa rd to our fruitful and continued coopera tion. Yours s incerely, Sonja Leighton-Kone Acting Deputy Executive Director Mr. Reginald Hernaus Pres ident of the s ixteenth m eeting of the Conference of the Parties to the Bas el Convention cc: Mr. Rolph Pa yet, Executive Secreta ry, Bas el Rotterdam Stockholm Convention Ms . Sonja Leighton-Kone, Acting Deputy Executive Director/ UNEP & Director, Corporate Services Divis ion/ UNEP United Nations Avenue, Gigiri PO Box 30552 – 00100, Na irobi, Kenya Tel: +254 207621234 | [email protected] www.unep.org 1