· Web viewBy its decision BC-10/28, the Conference of the Parties to the Basel Convention adopted financial rules for the operation of the Conference of the Parties, its subsidiary

UNITED

UNITEDNATIONS

BC

UNEP/CHW.13/INF/53/Rev.1

Distr.: General

31 March 2017

English only

Conference of the Parties to the Basel Conventionon the Control of Transboundary Movements ofHazardous Wastes and Their DisposalThirteenth meeting

Geneva, 24 April–5 May 2017

Item 6 of the provisional agenda[footnoteRef:1] [1: UNEP/CHW.13/1.]

Programme of work and budget

Information on financial matters

Note by the Secretariat

By its decision BC-10/28, the Conference of the Parties to the Basel Convention adopted financial rules for the operation of the Conference of the Parties, its subsidiary bodies and the Secretariat. Paragraph 1 of rule 3, which deals with the budget, requires the Executive Secretary to dispatch information on actual income and expenditure for each year of the previous biennium and estimates of actual expenditures in the current biennium, to all Parties to the Convention at least 90 days before the opening of the meeting of the Conference of the Parties at which the budget for a given biennium is to be adopted.

In accordance with paragraph 1 of rule 3 the Secretariat has prepared the present note, which provides information on income and expenditures for the biennium 2014–2015 and detailed income for the year 2016 for both the Basel Convention Trust Fund (BC Trust Fund) and the Basel Convention Technical Cooperation Trust Fund (BD Trust Fund). All amounts are in United States dollars, unless otherwise stated.

As mentioned in section IV below, due to the introduction of a new Enterprise Reporting System, Umoja, and the transition to International Public Sector Accounting Standards (IPSAS), the Secretariat has experienced delays in providing the most current financial status of its trust funds.

Consequently, the present note has been revised to include annexes VII–X, which provide additional information on budget performance for the general trust funds and the voluntary special/technical cooperation trust funds for the biennium 2014–2015 and 2016–2017. In addition, annexes II and III on the status of contributions to the BC Trust Fund and on the information on Parties with arrears to the BC Trust Fund for the period 20042016, respectively, have been updated to reflect the status as at 24 March 2017. Furthermore, annex IV on the status of contributions for 2015 to the BD Trust Fund has been updated to add additional notes and annex VI on the status of contributions for 2017 to the BD Trust Fund as at 24 March 2017 has been added.

The present note, including its annexes, has not been formally edited.

I. Certified accounts of the Basel Convention trust funds

The certified and audited accounts of the Basel Convention trust funds for the biennium 2014–2015 are reproduced in annex I to the present note. The accounts for the biennium 2014–2015 have been certified as correct and in accordance with the accounting policies, regulations and rules of the United Nations. The certified accounts for both Basel Convention trust funds are included as an integral part of the certified accounts of the United Nations Environment Programme (UNEP) for the biennium 2014-2015. It should be noted that as of 1 January 2014 the United Nations has implemented the International Public Sector Accounting Standards (IPSAS) and consequently the statements for 2014-2015 are not directly comparable with financial statements issued prior to 2014 which were prepared based on United Nations System Accounting Standards (UNSAS).

II. Basel Convention Trust Fund

For 2017, the second year of the biennium, the Conference of the Parties approved assessed contributions to be covered by Parties of $4,601,990. Annex II to the present note shows the status of contributions to the BC Trust Fund as at 24 March 2017, and the amount of $1,770,940 represents contributions paid in full or in part by Parties or 38.5% per cent of the total amount due to the Convention for 2017.

Annex III to the present note provides information on Parties with arrears to the BC Trust Fund for the period 20042016. Unpaid contributions for 2016 and prior years, as at 24 March 2017, equaled $1,181,848 from 89 Parties. With the introduction of IPSAS, on 1 January 2014, provisions for doubtful debt are being made incrementally for contributions that are overdue for 12 months or more. The provisions reduce the overall cumulative fund balance of the Trust Fund. However, the doubtful debt remains in the accounts of the Convention and any write-off still requires the approval of the relevant legislative body.

III. Basel Convention Technical Cooperation Trust Fund

At its eleventh meeting, the Conference of the Parties to the Basel Convention took note of the programme budget for the Technical Cooperation BD Trust Fund, totalling $ 3,640,605 for 2015. Annex IV to the present note provides information on the status of voluntary contributions pledged in 2015, which amounted to $1,146,861. Out of this amount, $916,289 was collected in 2015 for the 2015 budget as at 31 December 2015.

At its twelfth meeting, the Conference of the Parties to the Basel Convention took note of the programme budget for the Technical Cooperation BD Trust Fund, totalling $4,719,210 for 2016 and $4,333,947 for 2017. Annex V to the present note provides information on the status of voluntary contributions pledged in 2016 for the BD Trust Fund, which amounted to $1,106,745. Out of this amount, $1,010,345 was collected in 2016 for the 2016 budget as at 31 December 2016. Annex VI to the present note provides information on the status of voluntary contributions pledged in 2017 as at 24 March 2017, indicating that $128,339 had been pledged and paid. It should be noted that voluntary contributions for joint activities undertaken by two or more of the Basel, Rotterdam and Stockholm conventions are administered under separate grants within the Stockholm Convention voluntary Special Trust Fund. In 2016, the contributions for joint activities amounted to $2,913,721.

IV. Administrative and financial changes within the United Nations

The first IPSAS-compliant financial statement for the United Nations Secretariat was produced for the fiscal year from 1 January 2014 to 31 December 2014. IPSAS is based on full accrual accounting in line with the Generally Accepted Accounting Standards (GAAP) as opposed to UNSAS which is based on modified cash accounting and used exclusively within the United Nations. These standards, used by public sector entities around the world, and based on International Financial Reporting Standards (IFRS), lead to better informed assessments of resource allocation decisions, thereby increasing transparency and accountability.

It was recognized that the vigorous information requirements to produce IPSAS-compliant financial statements for the Organization would require a new UN Secretariat-wide information system and consequently the Umoja project was approved by the General Assembly in conjunction with IPSAS. The United Nations Environment Programme introduced Umoja on 1 June 2015.

The implementation of both IPSAS and Umoja has some short and long term implications on the preparation and presentation of the financial statements for the three conventions. The presentation of financial information has undergone significant changes, for example starting from 2014, the issuance of annual financial statements instead of biennial statements, annual audits, accounting for in-kind contributions, full recognition of liabilities for employee obligations such as After-Service Health Insurance (ASHI), annual leave and repatriation grants and the provisions for doubtful debt against long outstanding contributions have significantly affected the figures shown in the financial statements. Therefore, the financial statements which were prepared on an UNSAS basis for the years prior to 2014 and the financial statements prepared on the basis of IPSAS from the year 2014 onwards are not fully comparable. The organization also prepares its budgets on a modified accrual basis as opposed to the IPSAS full accrual basis.

Producing donor reports in accordance with the required format was a challenge at the onset of Umoja, particularly as the data had to be consolidated from two different systems with different dimensions. As UNEP has adapted to the new system, the data in Umoja has been structured to suit future reporting requirements. There are, however, still a few fundamental technical issues that are being looked at centrally at the UNHQ level which are causing delays in reporting because of necessary manual interventions.

On the operational front, increasing improvements are moving UNEP beyond the teething stage and Umoja implementation is stabilizing in many areas. In particular, payroll and travel are beginning to run smoothly.

Overall, however, while UNEP has come a long way in adjusting to Umoja, the Secretariat is still facing some challenges related to the transition into the new and still evolving operational model based on UN-wide standardized processes.



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20

19

Annex I

Certified audited accounts of the Basel Convention trust funds for the biennium 20142015 prepared in accordance with IPSAS

Annex II

Status of contributions to the Basel Convention Trust Fund, as at 24 March 2017 (expressed in US Dollars)

Country

Unpaid pledges for 2016 & prior years as at 31.12.2016

Pledges for 2017

Collections during 2016 for 2017 and future years

Collections during 2017 for 2016 and prior years

Collections during 2017 for 2017 and future years

Unpaid pledges for 2016 & prior years as at 24.03.2017

Unpaid pledges for 2017

Unpaid pledges for prior years, 2016 & 2017

Deferred Income

Afghanistan

299

288

299

288

586

Albania

575

575

575

Algeria

7 884

9 213

-1 329

(1 329)

(1 329)

Andorra

22

460

22

460

482

Antigua and Barbuda

362

115

362

115

478

Argentina

24 861

24 861

24 861

Armenia

403

403

Australia

119 354

119 354

Austria

45 923

45 923

Azerbaijan

2 302

2 302

2 302

Bahamas

978

5 934

-4 956

(4 956)

(4 956)

Bahrain

2 330

2 244

2 330

2 244

4 574

Bangladesh

575

575

575

Barbados

1 450

460

1 450

460

Belarus

3 223

3 223

3 223

Belgium

57 433

57 433

57 433

Belize

294

58

294

58

352

Benin

387

173

387

173

560

Bhutan

58

50

Bolivia

538

518

538

518

1 056

Bosnia and Herzegovina

978

978

Botswana

978

1 029

-51

(51)

(51)

Brazil

531 696

168 845

531 696

168 845

700 541

Brunei Darussalam

1 553

1 496

1 553

1 496

3 050

Bulgaria

2 705

2 705

Burkina Faso

990

173

990

173

1 163

Burundi

460

58

460

58

518

Cambodia

481

230

481

230

711

Cameroon

3 162

691

3 162

691

3 853

Canada

171 722

171 722

Cape Verde

60

58

60

58

117

Central African Republic

561

58

561

58

618

Chad

115

61

54

54

Chile

19 221

40

19 181

19 181

China

296 256

296 256

296 256

Colombia

31 147

14 905

31 147

14 905

46 052

Comoros

189

58

189

58

247

Congo

906

288

880

26

288

314

Cook Islands

651

58

651

58

709

Costa Rica

10 019

2 187

10 019

2 187

12 206

Cote d'Ivore

1 323

633

1 323

633

1 956

Croatia

7 251

7 251

Cuba

37 702

3 971

37 702

3 971

41 673

Cyprus

2 705

2 705

Czech Republic

22 213

22 213

Democratic People's Republic Of Korea

3 036

345

3 036

345

3 382

Democratic Republic of the Congo

1 954

173

1 954

173

2 126

Denmark

38 845

38 845

Djibouti

353

58

353

58

411

Dominica

651

58

651

58

709

Dominican Republic

2 706

2 590

2 706

2 590

5 296

Ecuador

119

2 532

119

2 532

2 651

Egypt

8 006

7 711

8 006

7 711

15 717

El Salvador

956

921

956

921

1 877

Equatorial Guinea

3 183

575

3 183

575

3 758

Eritrea

58

59

-1

(1)

(1)

Estonia

2 302

2 302

2 302

Ethiopia

597

575

597

575

1 173

European Union

115 050

115 050

Finland

29 867

29 867

France

321 865

321 865

321 865

Gabon

3 624

1 151

3 624

1 151

4 775

Gambia

60

58

60

58

117

Georgia

403

403

Germany

410 948

410 948

Ghana

806

864

-58

(58)

(58)

Greece

115 607

36 715

77 488

38 119

36 715

74 835

Guatemala

3 247

1 554

3 247

1 554

4 801

Guinea

181

58

181

58

239

Guinea-Bissau

560

58

560

58

618

Guyana

58

58

58

Honduras

460

6

454

454

Hungary

15 308

15 308

15 308

Iceland

20

1 554

20

1 554

1 574

India

38 327

38 327

38 327

Indonesia

19 912

19 912

19 912

Iran (Islamic Republic of)

29 384

20 487

29 384

20 487

49 871

Iraq

4 063

3 913

4 063

3 913

7 976

Ireland

24 055

25 294

-1 239

(1 239)

(1 239)

Israel

22 789

22 789

22 789

Italy

88 961

255 972

44 100

44 861

255 972

300 834

Jamaica

633

1 311

-678

(678)

(678)

Japan

623 415

25 289

598 126

598 126

Jordan

1 266

1 331

-65

(65)

(65)

Kazakhstan

28

6 963

28

6 963

6 991

Kenya

1 564

748

1 564

748

2 312

Kiribati

58

58

58

Kuwait

15 711

15 711

15 711

Kyrgyzstan

115

173

-58

(58)

(58)

Lao People's Democratic Republic

115

115

115

Latvia

2 705

2 705

Lebanon

12 569

2 417

12 569

2 417

14 986

Lesotho

58

97

-39

(39)

(39)

Liberia

201

58

201

58

259

Libya

13 457

8 172

13 457

8 172

21 628

Liechtenstein

518

518

Lithuania

4 201

4 201

Luxembourg

4 661

4 661

4 661

Madagascar

173

76

97

97

Malawi

517

115

517

115

633

Malaysia

16 171

16 171

Maldives

58

58

58

Mali

1 228

230

1 228

230

1 458

Malta

921

921

Marshall Islands

560

58

560

58

618

Mauritania

832

115

832

115

948

Mauritius

748

748

748

Mexico

106 003

106 003

Micronesia (Federated States Of)

560

58

560

58

618

Monaco

691

691

Mongolia

173

173

173

Montenegro

288

288

Morocco

3 568

8 959

-5 391

(5 391)

(5 391)

Mozambique

173

387

-214

(214)

(214)

Myanmar

597

575

597

575

1 173

Namibia

597

575

597

575

Nauru

53

58

53

58

110

Nepal

721

345

721

345

1 067

Netherlands

95 184

95 184

New Zealand

14 560

14 560

Nicaragua

179

173

179

179

-6

(6)

(6)

Niger

587

115

587

115

703

Nigeria

16 308

5 179

16 308

5 179

21 488

Norway

48 973

20 700

28 273

28 273

Oman

6 094

5 870

5 870

224

5 870

6 094

Pakistan

15 743

4 892

15 743

4 892

20 635

Palau

294

58

294

58

352

Panama

3 127

1 496

3 127

1 496

4 624

Papua New Guinea

492

230

492

230

722

Paraguay

575

29

546

546

Peru

6 733

6 551

182

182

Philippines

8 862

8 862

8 862

Poland

53 001

53 001

Portugal

27 278

363

26 915

26 915

Qatar

12 027

12 027

12 027

Republic Of Korea

8 535

114 750

8 535

114 750

123 285

Republic of Moldova

173

173

173

Romania

13 006

13 006

Russian Federation

140 301

140 301

140 301

Rwanda

362

115

362

115

478

Saint Kitts and Nevis

60

58

60

58

117

Saint Lucia

58

9 534

-9 476

(9 476)

(9 476)

Saint Vincent and the Grenadines

651

58

651

58

709

Samoa

58

0

58

58

Sao Tome and Principe

121

58

121

58

178

Saudi Arabia

103 905

49 721

103 905

49 721

153 627

Senegal

3 385

345

3 385

345

3 731

Serbia

2 302

2 302

Seychelles

58

58

Singapore

22 943

22 098

22 098

845

22 098

22 943

Slovakia

9 841

3 878

5 963

5 963

Slovenia

5 755

5 755

5 755

Somalia

353

58

353

58

411

South Africa

21 408

21 408

0

0

Spain

171 089

171 089

171 089

Sri Lanka

1 439

10

1 429

1 429

State of Palestine

60

58

60

58

117

Sudan

2 692

575

2 692

575

3 267

Suriname

725

230

725

230

955

Swaziland

173

173

173

Sweden

55 246

55 246

55 246

Switzerland

60 252

60 252

0

0

Syrian Arab Republic

10 132

2 072

10 132

2 072

12 204

Thailand

13 754

13 652

102

102

The Former Yugoslav Republic of Macedonia

2 530

460

2 530

460

2 990

Togo

560

58

560

58

618

Tonga

58

32

26

26

Trinidad and Tobago

2 629

2 532

2 629

2 532

5 161

Tunisia

2 157

2 072

2 157

2 072

4 229

Turkey

76 423

76 423

76 423

Turkmenistan

4 887

1 093

4 887

1 093

5 980

Uganda

345

7 439

-7 094

(7 094)

(7 094)

Ukraine

50

5 697

50

5 697

5 747

United Arab Emirates

35 549

34 241

35 549

34 241

69 790

United Kingdom of Great Britain and Northern Ireland

298 040

298 040

0

0

United Republic of Tanzania

2 606

518

2 606

518

3 124

Uruguay

3 107

2 992

3 107

2 992

6 099

Uzbekistan

694

863

694

863

1 557

Venezuela (Bolivarian Republic of)

148 890

36 082

148 890

36 082

184 972

Viet Nam

2 509

2 417

2 509

2 417

4 926

Yemen

4 126

575

4 126

575

4 702

Zambia

345

549

-204

(204)

(204)

Zimbabwe

119

115

119

115

235

Total

1 334 503

4 601 990

860 860

152 662

940 940

1 181 841

2 831 050

4 012 894

-30 860

Assessed contributions for 2017

4 601 990

Paid by 24.03.2017

1 770 940

38.5%

Unpaid pledges for 2017

2 831 050

61.5%

100.0%

Annex III

Parties with arrears to the Basel Convention Trust Fund for the period 2004–2016, as at 24 March 2017 (expressed in US dollars)

Country

2016

2015

2014

2013

2012

2011

2010

2009

2008

2007

2006

2005

2004

Total

Afghanistan1

299

299

Andorra

22

22

Antigua and Barbuda2

119

121

122

362

Bahrain2

2 330

2 330

Belize2

60

61

61

56

57

295

Benin1

179

182

27

388

Bolivia

538

538

Brazil

175 297

177 547

178 804

48

531 696

Brunei Darussalam

1 553

1 553

Burkina Faso1

179

182

183

167

170

110

991

Burundi1

60

61

61

56

57

59

55

52

461

Cambodia1

239

242

481

Cameroon

717

726

731

611

377

3 162

Cabo Verde2

60

60

Central African Republic1

60

61

61

56

57

59

55

52

51

49

561

Colombia

15 474

15 673

31 147

Comoros1, 2

60

61

61

8

190

Congo

27

27

Cook Islands2

60

61

61

56

57

59

55

52

51

49

49

42

652

Costa Rica

2 270

2 300

2 316

1 888

1 245

10 019

Côte d’Ivoire

657

666

1 323

Cuba2, 3

4 123

4 175

4 205

3 943

4 034

3 162

2 972

2 830

2 204

2 114

2 114

1 819

7

37 702

Democratic People’s Republic of Korea

358

363

366

389

398

410

385

367

3 036

Democratic Republic of the Congo1

179

182

183

167

170

176

165

157

154

147

147

127

1 954

Djibouti1

60

61

61

56

57

59

354

Dominica2

60

61

61

56

57

59

55

52

51

49

49

42

652

Dominican Republic2

2 689

17

2 706

Ecuador

119

119

Egypt

8 006

8 006

El Salvador

956

956

Equatorial Guinea1

597

484

487

444

455

117

110

105

102

98

98

85

3 182

Ethiopia1

597

597

Gabon

1 195

1 210

1 219

3 624

Gambia1

60

60

Greece

38 119

38 119

Guatemala

1 613

1 634

3 247

Guinea1

60

61

61

182

Guinea-Bissau1, 2

60

61

61

56

57

59

55

52

51

49

561

Iceland

20

20

Iran (Islamic Republic of)3

21 270

8 114

29 384

Iraq

4 063

4 063

Italy

44 861

44 861

Kazakhstan

27

27

Kenya

777

787

1 564

Lebanon

2 509

2 542

2 560

1 833

1 875

1 250

12 569

Liberia1

60

61

61

20

202

Libya

8 484

4 973

13 457

Malawi1

119

121

122

56

57

42

517

Mali1

239

242

244

167

170

59

55

52

1 228

Marshall Islands2

60

61

61

56

57

59

55

52

51

49

561

Mauritania1

119

121

122

56

57

59

55

52

51

49

49

42

832

Micronesia (Federated States of)2

60

61

61

56

57

59

55

52

51

49

561

Mynmar1

597

597

Nauru2

54

54

Nepal1

358

363

721

Niger1

119

121

122

111

114

587

Nigeria

5 377

5 446

5 485

16 308

Oman

224

224

Pakistan

5 078

5 144

5 180

342

15 744

Palau2

60

61

61

56

57

295

Panama

1 553

1 573

3 126

Papua New Guinea2

239

242

11

492

Republic of Korea

8 535

8 535

Rwanda1

119

121

122

362

Saint Kitts and Nevis2

60

60

Saint Vincent and the Grenadines2

60

61

61

56

57

59

55

52

51

49

49

42

652

Sao Tome and Principe1, 2

60

61

121

Saudi Arabia

51 621

52 284

103 905

Senegal1

358

363

366

333

341

234

220

210

256

246

246

212

3 385

Singapore2

845

845

Somalia1

60

61

61

56

57

59

354

State of Palestine

60

60

Sudan1

597

484

487

555

568

2 691

Suriname2

239

242

244

725

Syrian Arab Republic

2 151

2 178

2 194

1 388

1 420

801

10 132

The former Yugoslav Republic of Macedonia

478

484

488

389

398

293

2 530

Togo1

60

61

61

56

57

59

55

52

51

49

561

Trinidad and Tobago2

2 629

2 629

Tunisia

2 151

6

2 157

Turkmenistan

1 135

1 150

1 158

1 444

4 887

Ukraine

50

50

United Arab Emirates

35 549

35 549

United Republic of Tanzania1

538

545

548

444

455

76

2 606

Uruguay

3 107

3 107

Uzbekistan

694

694

Venezuela (Bolivarian Republic of)

37 461

37 942

38 211

17 437

17 839

148 890

Viet Nam

2 509

2 509

Yemen1

597

605

609

555

568

410

385

367

29

4 125

Zimbabwe

119

119

Total

507 280

332 934

247 892

33 523

31 452

7 848

4 842

4 608

3 204

3 046

2 801

2 411

7

1 181 848

Notes

1Least Developed Country

2Small Island Developing State

3Experiencing difficulties with making payments due to international banking restrictions

Annex IV

Status of contributions for 2015 to the Basel Convention Technical Cooperation Trust Fund, as at 31 December 2015 (expressed in US Dollars)

Annex V

Status of contributions for 2016 to the Basel Convention Technical Cooperation Trust Fund, as at 31 December 2016 (expressed in US Dollars)

Annex VI

Status of contributions for 2017 to the Basel Convention Technical Cooperation Trust Fund, as at 24 March 2017 (expressed in US Dollars)

Annex VII

Budget performance for the general trust funds of the Basel, Rotterdam and Stockholm conventions for the biennium 20142015

Basel (BCL)

Rotterdam (ROL)

Stockholm (SCL)

Basel, Rotterdamand Stockholm

Budget

Expenditure

Budget

Expenditure

Budget

Expenditure

Budget

Expenditure

1: Basel COP

522 527

561 032

522 527

561 032

2: Rotterdam COP

522 527

650 215

522 527

650 215

3: Stockholm COP

522 527

629 083

522 527

629 083

4: OEWG

354 865

251 912

354 865

251 912

5: CRC

428 626

409 598

428 626

409 598

6: POPRC

916 594

919 683

916 594

919 683

7: Basel Bureaux

47 640

35 005

47 640

35 005

8: Rotterdam Bureaux

25 408

19 109

25 408

19 109

9: Stockholm Bureaux

38 112

27 182

38 112

27 182

10: Basel ICC

39 545

22 057

39 545

22 057

Rotterdam ICC

39 545

39 545

Stockholm ICC

39 545

39 545

11: CRC Orientation Workshop (integrated into Activity 5)

12: Support for the work of Scientific Bodies

13: Technical Assistance and Capacity Building

30 000

15 623

75 000

65 474

30 000

15 065

135 000

96 161

14: Technical Assistance and Capacity Building (Basel)

15: Technical Assistance and Capacity Building (Rotterdam)

16: Technical Assistance and Capacity Building (Stockholm)

17: Technical Assistance for Conventions' implementation

18: Partnerships for Technical Assistance

47 000

12 238

47 000

12 238

19: Support for Regional Centres

75 500

50 791

115 050

26 150

190 550

76 942

20: Basel Scientific Support

70 000

89 760

70 000

89 760

21: Rotterdam Scientific Support

60 000

53 700

60 000

53 700

22: Stockholm Scientific Support

91 000

53 497

91 000

53 497

23: Effectiveness Evaluation and GMP

120 000

89 209

120 000

89 209

24: National Reporting

40 000

40 000

25: Clearing House Mechanism

339 200

197 299

89 000

58 348

56 000

53 188

484 200

308 835

26: Publications

86 000

66 806

68 300

34 029

98 400

24 356

252 700

125 190

27: Outreach and Public Awareness

28: Executive Direction and Management

236 300

239 459

253 078

237 032

236 300

239 545

725 678

716 036

29: International Cooperation

30: Resource Mobilization

8 000

8 000

8 000

24 000

31: Synergy Review

32: Legal and Policy (Basel)

33: Joint Legal and Policy Activities

34: Country Led Initiative (ESM and further Legal Clarity)

35: Office Maintenance

304 915

289 047

292 963

271 291

338 792

294 660

936 670

854 998

36: Joint ICT Services

77 600

37 632

66 500

50 226

77 600

45 087

221 700

132 946

Staff Costs

6 291 564

6 333 566

4 830 145

4 728 506

7 737 822

7 771 900

18 859 531

18 833 971

Total Direct Costs (excluding PSC)

8 570 656

8 202 226

6 759 092

6 577 528

10 425 742

10 188 605

25 755 490

24 968 359

Annex VIII

Budget performance for the general trust funds of the Basel, Rotterdam and Stockholm conventions for the biennium 20162017, as at 28 February 2017

Basel (BCL)

Rotterdam (ROL)

Stockholm (SCL)

Basel, Rotterdamand Stockholm

Budget

Expenditure

Budget

Expenditure

Budget

Expenditure

Budget

Expenditure

1: Basel COP

557 575

132 375

557 575

132 375

2: Rotterdam COP

557 575

123 250

557 575

123 250

3: Stockholm COP

557 575

123 250

557 575

123 250

4: OEWG

347 982

273 625

347 982

273 625

5: CRC

517 208

390 179

517 208

390 179

6: POPRC

862 962

402 431

862 962

402 431

7: Basel Bureaux

50 900

32 414

50 900

32 414


30 200

16 773

30 200

16 773


44 000

26 982

44 000

26 982

10: Basel ICC

42 680

26 006

42 680

26 006

11: CRC Orientation Workshop (integrated into Activity 5)


2 666

2 666

2 747

8 080


30 000

3 233

30 000

2 967

30 000

2 967

90 000

9 168







44 150

31 545

44 150

31 538

88 300

63 082


249 875

125 484

249 875

125 484


60 000

30 000

60 000

30 000


95 000

74 605

95 000

74 605


180 000

169 001

180 000

169 001


58 000

46 544

98 000

24 873

156 000

71 417


91 200

56 108

28 800

19 864

123 200

83 885

243 200

159 857

26: Publications

33 400

5 807

33 200

14 520

33 400

2 444

100 000

22 771


2 000

123

2 000

123

2 000

124

6 000

370


122 300

80 266

225 427

169 929

204 868

97 220

552 595

347 415



18 000

18 000

207 000

137 845

243 000

137 845

31: Synergy Review

45 200

6 407

30 300

4 808

45 200

4 829

120 700

16 044





306 000

119 361

148 200

74 988

486 000

193 685

940 200

388 034


105 000

30 242

65 000

47 801

145 000

42 279

315 000

120 322

Staff Costs

6 218 609

3 568 973

5 463 628

4 090 188

7 036 974

4 099 793

18 719 210

11 758 955

Total Direct Costs (excluding PSC)

8 322 871

4 541 178

7 209 538

4 988 057

10 195 329

5 520 498

25 727 737

15 049 732

Annex IX

Budget performance for the voluntary special/technical cooperation trust funds of the Basel, Rotterdam and Stockholm conventions for the biennium 20142015

Annex X

Budget performance for the voluntary special/technical cooperation trust funds of the Basel, Rotterdam and Stockholm conventions for the biennium 20162017, as at 28 February 2017

____________________

COUNTRY/

ORGANISATION

Unpaid

pledges for

2014 & prior

yrs

2014-2015

POW Acty

No.

Pledges

for 2015

NOTES

Collections

in 2015 for

2014 & prior

yrs

Collections

in 2015 for

2015

Unpaid

pledges for

2015 & prior

yrs

China

10 000

28/

10 000

0

Denmark

34 513

1

1/

34 513

Denmark

34 513

1

2/

34 513

Denmark

1

32 760

21/

32 760

Denmark

29 451

32/

29 451

European Union

14

487 348

31/

487 348

0

Finland

27 (S12/S13)

74 972

11/

74 972

0

Finland

1

14 597

18/

14 597

0

France

1

5 302

14/

5 302

0

Germany

1

66 372

12/

66 372

0

Germany

14

53 022

15/

53 022

Norway

1

23 848

17/

23 848

0

Japan

14 / 20

43 000

13/

43 000

0

Japan

S15 (24)

20 000

29/

20 000

0

Sweden

1

24 051

16/

24 051

0

Switzerland

164 767

1

9/

164 767

0

Switzerland

1

8 198

19/

8 198

0

Switzerland

65 856

28

10/

65 856

0

Switzerland

28

73 840

20/

73 840

Switzerland

28

135 600

30/

135 600

0

BAN

1 500

18

1 500

4/

3 000

BIR

9 980

18

10 000

3/

19 980

KCDI

400

18

200

7/

600

PCRR

1 000

18

1 000

5/

2 000

SIMS

3 300

18

3 300

6/

6 600

Spearink

1 000

18

1 000

8/

2 000

ITIC

18

10 000

22/

10 000

Boliden

18

1 000

23/

1 000

TES-AMM

18

3 300

24/

3 300

ISRI

18

10 000

25/

10 000

IER

18

3 000

26/

3 000

0

Close-the-Gap

18

200

27/

200

Total

316 829

1 146 861

230 623

916 289

316 779

NOTES:

30/ USD 135,600 to support the post of Special Assistant to the Executive Secretary of the BRS convention

25/ USD 10,000 as support for the Partnership for Action on Computing Equipment (PACE) for 2015 by

Institute of Scrap Recycling Industries

28/ USD 10,000 earmarked for the work of the Basel Convention regional centre for Asia and the pacific (BCRC)

11/ EUR 66,800 to support Joint communication, outreach and awareness raising for BRS convention (part of EUR 200,000 shared by BRS trust funds)

15/ EUR 50,000 for Enhancing developing countries understanding and promoting informed decision making on specific exemptions and acceptable purposes for POPs


Institute of Environment and Resources

27/ USD 200 as support for the Partnership for Action on Computing Equipment (PACE) for 2015 by

Close-the-Gap

20/ CHF 70,000 to support the post of Special Assistant to the Executive Secretary of the BRS convention (2nd instalment out of CHF 135,000 pledged)


Information Technology industry


Boliden Mineral


TES-AMM

4/ USD 3,000 as support for the Partnership for Action on Computing Equipment (PACE) for 2014 & 2015 by

BAN


PC Rebuilders & Recyclers

12/ EUR 60,000 to support travel of participants from developing countries and countries with ecomones in transition to attend 2015 COPs (part of EUR 100,000 shared

by BRS trust funds)


SPEARINK

9/ CHF 159,000 to support the organisation of regional meetings to prepare for the 2015 joint COPs (part of CHF 475,000 shared by BRS trust funds)

16/ SEK 200,000 to support travel of participants from developing countries and countries with ecomones in transition to attend 2015 COP-12

14/ EUR 5,000 to support travel of participants from developing countries and countries with ecomones in transition to attend 2015 COPs (part of EUR 15,000 shared by

BRS trust funds)

1/ DKK 200,000 to support the travel of participants from the region in the planned workshop on Ban amendement in El Salvadore and developing countries and countries

in transition to attend COP11, in Geneva

7/ USD 400 as support for the Partnership for Action on Computing Equipment (PACE) for 2014 & 2015 by

KCDI


SIMS Recycling Solutions


Bureau of International Recycling

2/ DKK 200,000 contribution towards particiaption travel from developing countries and countries with economies in transition to attend COPS in April/May 2013

21/ DKK 200,000 contribution towards particiaption travel from developing countries and countries with economies in transition to attend COPS in May 2015

32/ DKK 200,000 contribution towards particiaption travel from developing countries and countries with economies in transition to attend OEWG-10

13/ USD 43,000 contribution to projects approved by Japan under the Basel Convention Technical Co-operation Trust Fund

10/ CHF 65,000 to support the post of Special Assistant to the Executive Secretary of the BRS convention (First instalment out of CHF 135,000 pledged)

31/ EUR 391,222 being 96% of GPGC allocation for 2015

29/ USD 20,000 to support the project "Electronic Reporting system of the Basel and Stockholm conventions -Flexible online queries

19/ CHF 7,686 contribution towards Visual Identity project for 2015 COPs

17/ NOK 200,000 to support travel of participants from developing countries and countries with ecomones in transition to attend 2015 COPs (part of NOK 600,000 shared

by BRS trust funds)

18/ EUR 13,400 to support travel of participants from developing countries and countries with ecomones in transition to attend 2015 COPs (part of EUR 40,000 shared by

BRS trust funds)

COUNTRY/

ORGANISATION

Unpaid

pledges for

2015 & prior

yrs

2016-2017

POW Acty

No.

Pledges

for 2016

NOTES

Collections

in 2016 for

2015 & prior

yrs

Collections

in 2016 for

2016

Unpaid

pledges for

2016 & prior

yrs

China

ue

10 000

28/

10 000

0

Denmark

34 513

1

1/

34 513

Denmark

34 513

1

2/

34 513

Denmark

32 760

1

15/

32 760

Denmark

4

29 692

16/

29 692

0

EC

various

542 299

24/

542 299

0

Finland

4

11 322

23/

11 322

0

Japan

various

137 325

19/

137 325

0

Germany

0

4

43 716

17/

43 716

0

Germany

34

26 539

26/

26 539

0

Moldova

4

1 000

20/

1 000

0

Sweden

4

49 523

18/

49 523

0

Switzerland

74 477

28

14/

74 477

0

Switzerland

18 (S4)

41 218

21/

41 218

0

Switzerland

20 (S7)

41 111

22/

41 111

0

Switzerland

14

60 000

25/

60 000

0

Switzerland

32

113 000

27/

113 000

BAN

3 000

18

4/

3 000

BIR

20 000

18

3/

10 000

10 000

KCDI

600

18

7/

600

PCRR

2 000

18

5/

2 000

SIMS

6 600

18

6/

3 300

3 300

Spearink

2 000

18

8/

2 000

ITIC

10 000

18

9/

10 000

0

Boliden

1 000

18

10/

1 000

TES-AMM

3 300

18

11/

3 300

0

Close-the-Gap

200

18

12/

200

Total

224 963

1 106 745

84 477

1 010 345

236 886

NOTES:

28/ USD 10,000 voluntary contribution for 2016


Close-the-Gap

23/ EUR 10,000 contribution towards particiaption travel from developing countries and countries with economies in transition to attend OEWG-

21/ CHF 40,000 as support for the Partnership for Action on Computing Equipment (PACE)

22/ CHF 40,000 as support for the upcoming initiative on the ESM of Household Waste

20/ USD 1,000 voluntary contribution

19/ USD 137,325 contribution for projects approved by Japan for the basel Convention Technical cooperation trust fund

14/ CHF 70,000 to support the post of Special Assistant to the Executive Secretary of the BRS convention (2nd instalment out of

15/ DKK 200,000 contribution towards particiaption travel from developing countries and countries with economies in transition to attend COPS

in May 2015

26/ EUR 25,000 for funding eligible participants to attend the sixth meeting of the expert group on ESM to be held in Mechele,

1/ DKK 200,000 to support the travel of participants from the region in the planned workshop on Ban amendement in El Salvadore

7/ USD 400 as support for the Partnership for Action on Computing Equipment (PACE) for 2014 & 2015 by

KCDI

2/ DKK 200,000 contribution towards particiaption travel from developing countries and countries with economies in transition to attend COPS in

April/May 2013


SIMS Recycling


Bureau of


BAN


PC Rebuilders &

27/ USD 113,000 to support the implementation fund of the Basel Convention to assit Eritrea and Liberia to comply with the Convention

25/ USD 60,000 to support the ratification of the Basel Convention Ban Amendment


SPEARINK


Boliden

24/ EUR 500,000 GPGC Deposit 2 for 2016


ITIC

16/ DKK 200,000 contribution towards particiaption travel from developing countries and countries with economies in transition to attend OEWG-

18/ SEK 400,000 for OEWG-10 meeting participant travel

17/ EUR 40,000 for OEWG-10 meeting participant travel


TES-AMM

COUNTRY/

ORGANISATION

Unpaid

pledges for

2016 & prior

yrs

2016-2017

POW Acty

No.

Pledges

for 2017

NOTES

Collections

in 2017 for

2016 & prior

yrs

Collections

in 2017 for

2017

Unpaid

pledges for

2017 & prior

yrs

Denmark

34 513

1

1/

34 513

Denmark

34 513

1

2/

34 513

Denmark

32 760

1

6/

32 760

0

Japan

64 305

5/

64 305

0

Germany

1

64 034

4/

64 034

0

Switzerland

113 000

32

3/

113 000

0

Total

214 786

128 339

145 760

128 339

69 026

NOTES:

1/ DKK 200,000 to support the travel of participants from the region in the planned workshop on Ban amendement in El Salvadore

2/ DKK 200,000 contribution towards particiaption travel from developing countries and countries with economies in transition to

attend COPS in April/May 2013

6/ DKK 200,000 contribution towards particiaption travel from developing countries and countries with economies in transition to

attend COPS in April/May 2015

3/ USD 113,000 to support the implementation fund of the Basel Convention to assit Eritrea and Liberia to comply with the

4/ EUR 60,000 to support the participation of delegates from developing countries to attend 2017 COPs

5/ USD 64,305.12 for projects approved by Japan under the Basel Convention technical cooperation trust fund in 2016-2017

Budget Exp. 2014

Exp. 2015

(*)

Total

Expend.

Budget Exp. 2014

Exp. 2015

(*)

Total

Expend.

Budget Exp. 2014

Exp. 2015

(*)

Total

Expend.

Budget Exp. 2014

Exp. 2015

(*)

Total

Expend.

1: Basel COP820 400 (5 496) - - - - 820 400 (5 496)

2: Rotterdam COP- - 820 400 - - - 820 400 -

3: Stockholm COP- - - - 820 400 (3 480) 820 400 (3 480)

4: OEWG545 904 316 020 - - - - 545 904 316 020

5: CRC- - - - - - - -

6: POPRC- - - - 101 892 10 876 101 892 10 876

7: Basel Bureaux- - - - - - - -

8: Rotterdam Bureaux- - - - - - - -

9: Stockholm Bureaux- - - - - - - -

10: Basel ICC13 785 - - - - - 13 785 -

Rotterdam ICC- - 13 785 - - - 13 785 -

Stockholm ICC- - - - 13 785 - 13 785 -

11: CRC Orientation Workshop (integrated into Activity 5)- - 58 140 119 055 - - 58 140 119 055

12: Support for the work of Scientific Bodies8 000 - 8 000 (4 207) 4 000 14 680 20 000 10 473

13: Technical Assistance and Capacity Building477 500 - 477 500 114 788 482 000 148 185 1 437 000 262 973

14: Technical Assistance and Capacity Building (Basel)1 055 000 302 599 - - - - 1 055 000 302 599

15: Technical Assistance and Capacity Building (Rotterdam)- - 2 831 000 1 221 438 - - 2 831 000 1 221 438

16: Technical Assistance and Capacity Building (Stockholm)- - - - 1 358 000 344 042 1 358 000 344 042

17: Technical Assistance for Conventions' implementation552 000 - 893 000 - 631 000 259 883 2 076 000 259 883

18: Partnerships for Technical Assistance665 000 175 775 180 000 - 195 000 96 500 1 040 000 272 275

19: Support for Regional Centres189 650 137 089 106 000 - 193 150 115 137 488 800 252 226

20: Basel Scientific Support225 000 12 209 - - 155 000 35 000 380 000 47 209

21: Rotterdam Scientific Support- - 31 000 - - 12 000 31 000 12 000

22: Stockholm Scientific Support- 23 990 - - 327 000 123 815 327 000 147 805

23: Effectiveness Evaluation and GMP- - - - 520 000 974 156 520 000 974 156

24: National Reporting87 000 143 652 - - 57 000 - 144 000 143 652

25: Clearing House Mechanism- - - - - - - -

26: Publications- - - - - - - -

27: Outreach and Public Awareness59 200 - 59 200 - 60 300 - 178 700 -

28: Executive Direction and Management- - - - - 95 566 - 95 566

29: International Cooperation90 000 42 182 - - - - 90 000 42 182

30: Resource Mobilization 2 000 - 2 000 - 2 000 - 6 000 -

31: Synergy Review- - - - - - - -

32: Legal and Policy (Basel)290 000 277 949 - - - - 290 000 277 949

33: Joint Legal and Policy Activities230 000 79 250 - - - - 230 000 79 250

34: Country Led Initiative (ESM and further Legal Clarity)380 000 382 696 - - - - 380 000 382 696

35: Office Maintenance- - - - - - - -

36: Joint ICT Services- - - - - - - -

Staff costs735 624 445 117 340 574 785 691 923 916 277 196 86 573 363 769 2 117 112 603 998 577 827 1 181 825 3 776 652 1 326 311 1 004 974 2 331 285

Total direct costs (excl. PSC)6 426 063 2 333 032 2 646 871 4 979 903 6 403 941 1 728 270 1 149 853 2 878 123 7 037 639 2 830 358 2 810 424 5 640 781 19 867 643 6 891 660 6 607 147 13 498 807

5 602 173 11 167 522

Activity

(*) In June 2015 the UN Secretariat, including BRS, converted to a new financial system UMOJA. The total expenditure has been reconciled and confirmed for the financial year 2015, however, due to to the different expenditure classification tables in the two systems, the

2015 data cannot be disaggregated to the activity level.

Basel (BDL)

(BDL and Other*)

Rotterdam (RVL)Stockholm (SVL)Basel, Rotterdam and Stockholm

2 306 296 4 194 211 1 063 280 2 514 354 2 232 596 4 458 956

Budget

Expend.

Budget

Expend.

Budget

Expend.

Budget

Expend.

1: Basel COP

978 163

506 510.56

-

-

-

-

978 163.00

506 510.56

2: Rotterdam COP

-

-

978 163

536 252

-

0

978 163.00

536 252.04

3: Stockholm COP

-

-

-

-

978 163

562 168

978 163.00

562 168.34

4: OEWG

669 512

149 172.50

-

-

-

-

669 512.00

149 172.50

5: CRC

-

-

89 535

-

-

-

89 535.00

-

6: POPRC

-

-

-

-

105 734

20 200

105 734.00

20 200.00

7: Basel Bureaux

-

-

-

-

-

-

-

-


-

-

-

-

-

-

-

-


-

-

-

-

-

-

-

-

10: Basel ICC

30 280

33 332.40

-

-

-

-

30 280.00

33 332.40

11: CRC Orientation Workshop

(integrated into Activity 5)

-

-

-

-

-

-

-

-


4 000

-

4 000

-

4 000

-

12 000.00

-


532 000

33 160

510 000

-

558 000

-

1 600 000.00

33 159.73


1 470 000

369 773

-

-

-

-

1 470 000.00

369 773.24


-

-

1 957 000

230 376

-

-

1 957 000.00

230 376.25


-

-

-

1 807 000

245 110

1 807 000.00

245 109.59


873 000

158 228

894 000

117 796

898 000

115 324

2 665 000.00

391 348.72


272 000

147 271

337 000

-

96 000

-

705 000.00

147 270.62


516 500

-

-

-

516 500

-

1 033 000.00

-


490 000

312 107

-

-

30 000

-

520 000.00

312 106.78


-

-

255 000

107 326

-

-

255 000.00

107 325.58


-

-

-

-

308 000

141 400

308 000.00

141 399.98


-

-

-

-

428 000

156 783

428 000.00

156 782.82


60 000

8 927

-

-

-

-

60 000.00

8 927.00


84 800

9 043

63 400

6 394

84 800

8 563

233 000.00

24 000.00

26: Publications

-

-

-

-

-

-

-

-


17 500

(29 453)

15 000

-

17 500

-

50 000.00

(29 453.33)


-

-

-

-

-

-

-

-


-

-

-

-

-

-

-

-


-

-

-

-

20 000

-

20 000.00

-

31: Synergy Review

-

-

-

-

-

-

-

-


380 000

120 187

-

-

-

-

380 000.00

120 187.45


20 000

-

-

-

-

-

20 000.00

-


424 000

204 242

-

-

-

-

424 000.00

204 242.08


-

-

-

-

-

-

-

-


-

-

-

-

-

-

-

-

Staff Costs

1 189 888

(57 189)

561 000

6 749

1 734 204

380 687

3 485 092.00

330 246.31

Total direct costs (excl. PSC)

8 011 643

1 965 311

5 664 098

1 004 893

7 585 901

1 630 235

21 261 642.00

4 600 438.64

(*) Basel, Rotterdam and Stockholm conventions receive funds and have expenditure earmarked for their Conventions that are recorded in their respective special voluntary trust funds BDL, RVL, SVL. The

three conventions also receive funds for shared activities, that at the moment are kept in a separate grant in the SVL trust fund. The shared costs related to shared activities have been proportioned among the

three conventions in proportion relative to the original approved budgets for the biennium.

Stockholm (SVL*)

Basel, Rotterdam and Stockholm

Activities

Basel (BDL and TF*)

Rotterdam (RVL and TF*)

Documents

· Web viewBy its decision BC-10/28, the Conference of the Parties to the Basel Convention adopted financial rules for the operation of the Conference of the Parties, its subsidiary