Distr.
GENERAL
FCCC/SBI/1997/3
19 February 1997
Original: ENGLISH
SUBSIDIARY BODY FOR IMPLEMENTATION
Fifth session
Bonn, 25-28 February 1997
Item 6 (a) of the provisional agenda
Paragraphs Page
I. INTRODUCTION 1 - 9 3
A. Mandate 1 3
B. Scope of the note 2 - 8 3
C. Possible action by the Subsidiary Body for
Implementation 9 4
II. TIMETABLE AND PROCESS 10 - 11 5
III. PERSPECTIVES ON THE PROGRAMME OF WORK 12 - 45 6
A. Lessons learned 12 - 19 6
B. Programme structure and content 20 - 45 8
IV. UNCERTAINTIES AND CONTINGENCIES 46 - 80 14
A. Policy-Making Organs 47 - 48 14
B. Executive Direction and Management 49 - 52 14
GE.97-
Paragraphs Page
C. Science and Technology 53 - 55 15
D. Implementation 56 - 57 16
E. Conference Management and
Information Services 58 - 76 16
F. Resources, Planning and Coordination 77 - 78 20
G. Post-Kyoto Ad Hoc Intergovernmental Process 79 - 80
21
V. PRELIMINARY RESOURCE ESTIMATES FOR
THE CORE BUDGET 81 - 82 21
VI. TRUST FUND FOR PARTICIPATION IN THE
UNFCCC PROCESS 83 - 85 25
VII. TRUST FUND FOR SUPPLEMENTARY ACTIVITIES 86 - 88
25
1. The financial procedures for the Conference of the Parties (COP) provide that the COP shall consider a budget prepared by the Executive Secretary and shall adopt a budget by consensus prior to the commencement of the biennial financial period that it covers
(see FCCC/CP/1995/7/Add.1, decision 15/CP.1). In anticipation of the presentation of a budget, the COP, in its decision 16/CP.2, paragraph 15, requested the Executive Secretary to provide the Subsidiary Body for Implementation (SBI) at its fifth session with some perspectives of estimated financial requirements for the biennium 1998-1999 (FCCC/CP/1996/5/Add.1). This note responds to that request, in the manner explained below.
2. This note outlines the approach of the Executive Secretary to constructing a new work programme that aims to deliver the outputs demanded by the Parties in the next biennium and support the intergovernmental structure that they have put in place. The building blocks are subprogrammes corresponding to the main tasks that the secretariat is currently required to perform and are expected to continue through the next biennium. In defining the subprogrammes, an attempt has been made to anticipate the evolution of these tasks up to the end of the next biennium. The subprogrammes are structured in programmes which, while the same in number as in the current biennium, are different in composition. The new configuration seeks to respond more directly to the needs of the Convention bodies.
3. Uncertainties about the evolution of the secretariat's tasks
have been highlighted. In the main, these concern the impact on
programme content of the outcomes of deliberations and negotiations
currently underway in all four subsidiary bodies. These outcomes may
also affect the programme structure. Uncertainty also surrounds the
future funding of conference services for the Convention bodies,
which will be determined by decisions still to be taken in the
context of the programme budget of the United Nations for the next
biennium. In this latter case, alternative organizational options
have been outlined.
4. The result is a paper that raises several questions about the
content, extent and structure of the secretariat's work programme,
questions on which positions need to be taken in order for the
Executive Secretary to submit a programme budget to the SBI at its
sixth session (SBI 6, July 1997). In so far as these questions cannot
be answered by the time of that submission, it may be necessary to
present a programme budget based on some alternative assumptions.
While the Executive Secretary will be ready to propose a programme
budget on the basis of his best judgement on these questions, he
would prefer to proceed on the basis of advice from the Parties
through the SBI.
5. In a first effort to seek the views of the Parties on the
approach to the next programme budget, the Executive Secretary, in
association with the Chairman of the SBI, convened an informal
consultation with delegations on budgetary matters on the margin of
the December 1996 sessions of the subsidiary bodies. That
consultation gave useful pointers on the preparation of this note and
on the process for considering and adopting the programme budget. On
that occasion, representatives of Parties whose contributions account
for a large share of the core budget of the Convention expressed a
strong wish for broad estimates of resource requirements
("back-of-the-envelope" figures) to be made available to the SBI at
its fifth session.
6. This view has been taken into account and, despite the above-mentioned uncertainties regarding the content of the programme, this note contains indicative estimates of staffing and financial requirements, stated in very broad terms. These estimates are preliminary; the requirements that will be presented to SBI 6 in the programme budget proposal of the Executive Secretary may differ. They are also incomplete, in that they do not yet include estimates of conference servicing costs in the event that these are not funded from the
United Nations programme budget. Nevertheless, it is hoped that
they will be useful to Parties in preparing for their later
consideration of that proposal and will generate advice that will
help the Executive Secretary to prepare the programme
budget.
7. Following the above rationale, this note contains sections on
the proposed programme structure and its content, building on
"lessons learned" (section III), uncertainties and contingencies
(section IV) and preliminary resource estimates for the core budget
(section V). It also briefly reviews resource needs for the trust
funds for participation and for supplementary activities (sections VI
and VII respectively).
8. These sections are preceded by a proposal on the timetable and
process for the consideration and adoption of the programme budget
(section II). This proposal seeks to reconcile the formal requirement
for the budget to be adopted by the COP, scheduled this year for
December, with the need for the Parties to agree on the budget well
before the end of the year, so as to enable the secretariat to plan
its work for 1998 and notify the Parties in good time of
contributions due on 1 January 1998.
9. The SBI may wish to:
(a) Endorse the timetable and process for the review and adoption
of the programme budget for the biennium 1998-1999, proposed in
section II below, and consider whether the process could be
facilitated by informal consultations that could be convened by the
Chairman of the SBI between its fifth and sixth
sessions;
(b) Provide comments on the proposed structure and programme of
work outlined in section III of this note and specific guidance on
the issues outlined in section IV;
(c) Request the Executive Secretary to propose a programme budget
for the biennium 1998-1999, for consideration by SBI 6, taking
account of the views expressed by delegations at its fifth session
and any conclusions reached.
10. The following timetable and process are proposed for the
consideration and adoption of the programme budget for the biennium
1998-1999:
(a) A comprehensive programme budget will be proposed by the
Executive Secretary for consideration at SBI 6 (July 1997), which
will complete its review of the budget at that session and recommend
a budget decision to the COP for adoption;
(b) The recommended decision will follow the precedent of that
adopted by the COP at its first session (COP 1)
(FCCC/CP/1995/7/Add.1, decision 17/CP.1), providing a total budget
with allocations by programme, a secretariat-wide staffing table
broken down by level and a provision enabling the Executive Secretary
to switch resources among programmes within limits;
(c) On account of prevailing uncertainties, some elements of the
programme budget may have to be recommended by the SBI as
contingencies, dependent on decisions of the COP at its third session
(COP 3) or the United Nations General Assembly at its fifty-second
session;
(d) On the basis of its recommended budget decision, the SBI will
authorize the Executive Secretary to notify the Parties by 1 October
1997 of their indicative contributions due to the core budget by 1
January 1998;
(e) The decision on the programme budget will be adopted by COP 3
as recommended by the SBI, without modification except for
adjustments resulting from other decisions of COP 3 or from decisions
of the General Assembly;
(f) Information on financial performance in 1996-1997 will be
provided to COP 3, in accordance with decision 16/CP.2, paragraph 14
(see FCCC/CP/1996/15/Add.1).
11. The SBI may also wish to consider whether agreement on a
programme budget at its sixth session could be advanced by holding
informal consultations on the subject between its fifth and sixth
sessions. Such consultations could be convened by the Chairman of
SBI, with the support of the Executive Secretary.
(i) Flexibility
12. The work programme of the secretariat has evolved
significantly since the programme budget for the biennium 1996-1997
was submitted to COP 1 two years ago. Indeed, adjustments to the
content and structure of the work programme, and to staff deployment
therein, had to be made even before the start of the biennium as a
result of the decisions adopted by COP 1 - notably the decisions on
the Berlin Mandate and on the location of the secretariat. This
process of evolution and adaptation continues and is expected to be a
normal feature of the operation of a secretariat that is responsive
to the demands of an unfolding negotiating process.
13. Thus, the first lesson learned from the management of the
current programme budget is the need for flexibility in deploying
resources and staff to meet needs that are changing continually and
sometimes unexpectedly. The provision of decision 17/CP.1 (paragraph
5) that permits the Executive Secretary to switch resources among
programme areas, within limits, has fully proven its utility in this
respect (see FCCC/CP/1995/7/Add.1).
14. In order to ensure that the starting point of the next
programme budget is relevant to evolving needs, its content and
structure have been redesigned from the bottom up. While experience
and continuity have been given due consideration, current and
expected tasks have been reassessed and a new set of subprogrammes
defined in consequence. A bottom-up approach such as this has the
advantage of avoiding the perpetuation of outdated mandates, which is
a common failing of incremental programming. On the other hand, it
places additional demands upon the imagination both of the
secretariat that is preparing the programme and of the Governments
that are considering it, since it does not necessarily refer to
baselines in each programme and subprogramme. The only sure baseline
in this approach is the "bottom line" - the total amount of resources
included in the budget.
(ii) Focus
15. A second lesson learned concerns the advantage of clarity in arrangements for the provision of secretariat support to the Convention bodies. The present arrangement whereby a senior officer acts as coordinator of secretariat inputs to each of the four bodies, and of support to its chairperson, has proved its worth. On the other hand, the composition of the two main substantive programmes - Communication, Assessment and Review (CAR) and Financial and Technical Cooperation (FTC) - has required the programme coordinators and their team members to be at the disposal of both the standing subsidiary bodies - the Subsidiary Body for Scientific and Technological Advice (SBSTA) and the SBI, which have complex and interlinked agendas. This has posed some problems of schedule management.
It has also diffused the secretariat's efforts to give focused
support to the leadership of these two bodies.
16. It is felt that a programme structure that is more directly
aligned with these two bodies will enhance the focus of the
secretariat's support for them. This will not eliminate the need for
"crossover" support that results from duplication in the agendas of
these bodies (for example, on technology and on activities
implemented jointly (AIJ)). It should, however, encourage the
rationalization of these agendas and the development of an efficient
division of labour between the two bodies, an aim that is to be
addressed in the report requested of their chairmen by the COP at its
second session (see FCCC/CP/1996/15/Add.1, section III, paragraph
4).
17. A different issue of focus is raised by the arrangements for
providing secretariat support to the Ad Hoc Group on the Berlin
Mandate (AGBM). While this is a successful example of a flexible
response to the needs of the Parties, it has placed an unsustainable
strain upon the capacity of the secretariat in other areas. Combining
the responsibilities for support to an ad hoc intergovernmental
process with other programme coordination responsibilities has
diverted attention from the latter. This experience should not be
repeated; any ad hoc intergovernmental process that may follow COP 3
will need a distinct support capacity.
(iii) Linkages
18. Recent experience has shown the difficulty of building
substantive linkages between the secretariat's work and other
intergovernmental processes on the basis of a subprogramme
responsible for conference management and external relations. The
pressures of the former function tend to prevail over efforts at the
latter, the more so with the quantum leap in conference management
responsibilities resulting from the relocation of the secretariat and
the growing task of editing, translating and disseminating
documentation. The alternative of placing responsibility for external
linkages in substantive programmes has been more successful, as in
the case of relations with the Intergovernmental Panel on Climate
Change (IPCC) and the Global Environment Facility (GEF) - handled by
the CAR and FTC programmes respectively. Consequently, the latter
approach is followed in the new work programme, leaving the
subprogramme responsible for conference management to handle external
liaison with Parties and observers and to facilitate their
participation in the Convention process.
(iv) Distance from conference service
providers
19. The final lesson, hinted at above, is that the move of the
secretariat away from Geneva has required it to dedicate resources to
conference servicing tasks that complement those that continue to be
provided by the United Nations Office in Geneva (UNOG). The
implications of this separation are spelled out below. (See
paragraphs 35 to 38.)
20. Drawing on these lessons, it is envisaged that the work of the
secretariat for the biennium 1998-1999 will be organized in six
programmes:
(a) Policy-Making Organs;
(b) Executive Direction and Management;
(c) Science and Technology;
(d) Implementation;
(e) Conference Management and Information Services;
(f) Resources, Planning and Coordination.
21. The first two of these are unchanged in concept from the
current biennium. The remaining four result from the bottom-up
reorganization. The content of these programmes is described briefly
in this section and will be spelled out in due course in the
programme budget.
(i) Staffing structure: senior
posts
22. The programmes on Science and Technology and on Implementation
will each be headed by a Coordinator at the D-2 level, subject to the
maintenance of that level by COP 3. They will each also include one
D-1 officer who, in addition to being Deputy Coordinator, will manage
a subprogramme; their other subprogrammes will be managed by officers
at the P-5 level. One of the principal functions of each coordinator
will be to ensure staff support, documentation and other inputs for
the work of the main subsidiary body to which the programme is
related (SBSTA and SBI respectively). A professional officer will be
attached directly to the programme coordinator to support this
function. The programmes for Conference Management and Information
Services and Resources and Planning and Coordination will be headed
by Coordinators at the D-1 level and include subprogramme managers at
the P-5 level. Broad estimates of other staffing and resource
requirements for these programmes are given in section V below. The
Executive Secretary will ensure the flexible deployment of staff and
resources allocated to these programmes.
(ii) Science and Technology
(S&T)
23. The S&T programme will retain those elements of the
present CAR programme that respond most directly to the needs of the
SBSTA. It will carry the Convention's contribution to the IPCC
budget, and will contain three subprogrammes, on technology,
methodology and scientific outreach.
24. One of the pillars of the S&T programme will be a
subprogramme integrating work on all aspects of technology
related to climate change, including its transfer, and responding to
the high priority placed by Parties on this work. As noted in the
progress report on transfer of technology submitted to SBSTA and SBI
(FCCC/SB/1997/1), requests have been made so far for reports on eight
different topics in this area (including technology information
centres). In view of its relative importance and potential scope,
this subprogramme will be managed by the Deputy Coordinator (D-1). It
is proposed to incorporate in this subprogramme some capacity for
analysis of technical issues arising from the review and
synthesis of communications and aspects of policies and measures and
their effects. The aim of this addition would be to broaden the
access of developing country Parties to such technical analysis. One
example of an area where such work could be conducted is bunker
fuels, where the options for control will be the basis for allocating
emissions from this sector (see FCCC/SBSTA/1996/9/Add.2). Another
area of analysis, drawing on information in national communications
and their in-depth reviews, could be national experiences with
climate change policies and measures, in specific sectors (e.g. urban
transport) or with specific instruments (e.g. voluntary agreements).
The compilation of different experiences would be a basis for
disseminating information to all Parties on potentially replicable
"success stories". The rationale for such analytical work will be
spelled out in the programme budget.
25. The other pillar will be a subprogramme dealing with
methodology: its development, documentation, dissemination
and application. This will include work on the technical content of
guidelines for national communications but not on the renegotiation
of such guidelines nor methodological work on AIJ, both of which will
be in the Implementation programme. The division of methodological
work between the secretariat and the IPCC is being considered in the
Joint Working Group of the officers of the IPCC and the Convention,
from which a recommendation to SBSTA is awaited. SBSTA has already
identified a menu of priority tasks at its fourth session (see
FCCC/SBSTA/1996/20). It is suggested that the content and resource
requirements of this element of the secretariat's work should be
defined on the basis of the conclusions of SBSTA.
26. The subprogramme on scientific outreach will support
the integration of science in the Convention process, through the
SBSTA, mainly by ensuring the flow of information to and from the
IPCC, other relevant scientific assessments, and organizations
participating in the Climate Agenda. It will also support work on
Article 5 of the Convention (Research and systematic observation). As
in the past, a professional staff member made available by the World
Meteorological Organization (WMO) will supplement the resources of
the core budget in this subprogramme.
27. Many of the secretariat's linkages with other
intergovernmental processes and their secretariats will be based in
the substantive work of the S&T programme. In addition to those
referred to in the preceding paragraph, mention may be made of
linkages with OECD, IEA, FAO, ICAO, WTO and other
conventions.
(iii) Implementation (IMP)
28. The IMP programme will combine the remaining elements of the present CAR programme, essentially those dealing with national communications (Annex I and
non-Annex I), with the content of the present FTC programme. The
resulting programme will aim to provide greater impetus to the SBI in
its role of reviewing the implementation of the Convention by all
Parties.(1) The Implementation
programme will also support the work of the Ad Hoc Group on Article
13 (AG-13). The programme will contain four subprogrammes: one each
on implementation by Annex I and by non-Annex I Parties, one on
mechanisms for cooperative implementation (AIJ) and one on the
implementation process.
29. The subprogramme on Annex I implementation will
receive and disseminate national communications of Annex I Parties
and coordinate and publish the in-depth reviews of these
communications.
30. The subprogramme on non-Annex I implementation will
integrate work on: the financial mechanism of the Convention,
including the interface with the GEF and its implementing agencies
and other sources of multilateral financing; facilitation of
technical support for national communications by non-Annex I Parties;
and receipt and dissemination of these communications. It will
support any process that may be decided for the consideration of
these communications, subject to the uncertainties discussed in
section IV.
31. The subprogramme on mechanisms for cooperative
implementation will support work on the pilot phase of AIJ,
including related methodological work, with a continuing focus on the
design phase and an increasing focus on the consideration of reports
during the course of the biennium. The resource needs of this
subprogramme will be determined on the assumption that the pilot
phase will continue throughout the coming biennium. Should the
Parties agree to proceed beyond the pilot phase during this period,
this subprogramme would be adapted accordingly within the limits of
available resources.
32. The remaining subprogramme, somewhat eclectic in content, will
pull together work on the more general issues of the
implementation process: the compilation and synthesis of
national communications from Annex I and non-Annex I Parties (drawing
on the support of other subprogrammes); negotiations on the revision
of guidelines for communications and on the processes for reviewing
and considering them, including support to any post-Kyoto work in
this regard; and mechanisms for the promotion of implementation, that
is, the work of AG-13 and its possible outcome, bearing in mind the
uncertainties discussed in section IV. In view of its breadth and
policy content, this subprogramme will be managed by the Deputy
Coordinator (D-1), who will also coordinate secretariat inputs to
AG-13 and provide support to its chairperson. If time and money
permit, this subprogramme would prepare the report on implementation
called for by decision 7/CP.1, which has so far eluded the capacity
of the secretariat.
(iv) Conference Management and Information Services
(CMIS)
33. The content of the CMIS programme results from the rapid
evolution of the Intergovernmental and Institutional Support (IIS)
programme that formed part of the programme budget approved for the
current biennium. The latter programme has already been through a
major transformation, as a result of the need to organize the
relocation of the secretariat and to adjust to the loss of staff who
chose not to follow the secretariat to its new headquarters. This
redeployment, effected in April 1996, transferred from IIS to the
present Implementation and Planning (I&P) programme the
responsibility for administration and legal advice, centralized in
IIS the responsibility for work on information products, and changed
the programme's name to "Intergovernmental and Information
Support".
34. As a result of the redistribution of responsibilities for
external relations with intergovernmental bodies, explained in
paragraph 18 above, this programme will now concentrate on the
provision of two types of services that are essential for the smooth
functioning of the Convention process and its secretariat and that
are reflected in the new name for the programme. The programme will
accordingly be organized in two subprogrammes: conference management
service and information service.
35. The main tasks of the conference management service subprogramme will be to ensure that sessions of the Convention bodies are well-organized, held in suitable facilities,
well-attended, provided with the official documentation, other
relevant information and interpretation they require, and adequately
publicized. It will also maintain communications with the Parties and
other participants in between sessions, so as to inform them of the
work of the Convention and facilitate their effective participation
therein. To achieve the former aim, this service will have to
assemble, manage and disassemble the physical conference facilities
for sessions of Convention bodies in Bonn; ensure the planning,
editing, translation, reproduction, dissemination and storage of
documentation on paper and by electronic means; provide printed and
electronic information, as needed; secure interpretation services;
manage the funding, accreditation and registration of participants;
and provide information and other services to support media coverage.
In between sessions, it will liaise with Parties' national focal
points, diplomatic missions in the host country and other points of
contact designated by Parties, as well as with observer organizations
and the media.
36. At present, the United Nations Secretariat - through UNOG -
provides, at no charge to the Convention budget, basic conference
services, including interpretation and translation, with considerable
constraints on its translation capacity; some distribution of
documents, notably to permanent missions in Geneva and diplomatic
missions in Bonn; and some technical conference staff during
sessions. The UNEP Information Unit on Conventions in Geneva prepares
information materials for the media, while the United Nations
Information Centre in Germany (housed in the same premises as the
Convention secretariat), provides help with organizing local media
services. The rest of the package described above is provided or
contracted by the Convention secretariat.
37. The first element of the package, relating to physical facilities, is a new element arising from the separation of the secretariat from United Nations conference facilities (such as those of the Palais des Nations in Geneva) and its installation in a city that does not yet have a permanent conference centre capable of hosting large United Nations conferences with two meetings in parallel. This locational factor is compensated by the availability from the host Government of a special annual contribution to the cost of organizing such events in Germany. This contribution, which formed part of the offer of Germany to host the secretariat, is now known as the "Bonn Fund".
38. Two major uncertainties arise in relation to the conference management subprogramme and the related programme for policy-making organs. The first is whether the provision of basic conference services by the United Nations Secretariat will continue to be free of charge to the Convention budget. If not, Convention funds will have to cover the cost of those services and of the additional staff required to manage them (for example, to hire and brief translators and interpreters). The second uncertainty is whether the resources of the Bonn Fund will suffice to pay for the staff costs involved in managing physical conference facilities in Germany. A third issue is whether the Parties desire and are willing to pay for substantive liaison arrangements in Geneva and/or New York. These questions are addressed in
section IV.
39. The information service subprogramme will make
available to Parties and others a number of information products to
be used at sessions of the COP and its subsidiary bodies, both in
printed form and via electronic media (including the World Wide Web,
CD-ROM, EcoNet, and diskettes). In order to accomplish these and
other activities, this subprogramme will maintain the electronic
communications and computer system used by the secretariat, manage
its growing data bases and provide technical support to other parts
of the secretariat in the electronic processing of information. This
subprogramme will provide the technical foundation of the
secretariat's ability to respond to the demands of the Parties for
documentation and information.
40. The question is raised in section IV whether this programme
could be the platform for work by the secretariat - in partnership
with UNEP - to support work by Parties to raise public awareness of
climate change, in pursuit of Article 6 of the Convention. It could
also be the locus for work on consultative mechanisms with
non-governmental constituencies.
(v) Resources, Planning and Coordination
(RPC)
41. The RPC programme builds on the present I&P programme, as
it has evolved (see paragraph 33 above). One line of evolution that
is not reproduced in the next generation, however, is the task of
supporting an ad hoc negotiating process; the reason for this is
explained in paragraph 17
above.(2)
42. The RPC programme will support the Executive Secretary in
planning and coordinating the secretariat's work programme,
mobilizing financial resources for it from the core budget and all
other sources, and ensuring that it remains responsive to emerging
needs. It will support the main coordinating mechanisms of the
Convention, namely the COP and its Bureau, ensuring adequate
preparations and inputs for both. For the latter purpose, the
programme coordinator will serve as Secretary of the COP. The
programme will ensure linkages with the principal coordinating
mechanisms of the United Nations that are relevant to the Convention
process, namely: the General Assembly; the Commission on Sustainable
Development and its inter-agency machinery; the Governing Council of
UNEP; and any new machinery that may emerge from the special session
of the General Assembly on Agenda 21 and the ongoing reform of the
United Nations.
43. The senior legal officer, located in this programme, will
provide support for legal aspects of the work of the Convention
bodies and the secretariat and ensure liaison with the United Nations
Office of Legal Affairs. UNEP is no longer able to provide financial
support for this position.
44. In addition to the staff functions described above, the RPC
programme will have one subprogramme for financial management and
administration. This subprogramme, largely funded from the
overhead charge paid to the United Nations, will provide the
management of the Convention's finances and secretariat personnel as
well as general service operations, the management of the linkages
with the UNOG and the Department of Administration and Management at
United Nations Headquarters, participation in the management of the
United Nations premises in Bonn and the related common services
arrangements, and the maintenance of administrative relations with
the host Government.
(vi) Other programmes
45. In addition, the programme budget will again include
programmes for policy-making organs (covering costs related
to sessions of Convention bodies) and executive direction and
management (covering the functions and immediate staff of the
Executive Secretary). Uncertainties in these programmes concern the
desired annual schedule of Convention bodies and the level of the
post of Executive Secretary. In the current budget, the programme for
policy-making organs carries the contribution to the budget of the
IPCC; it is proposed to shift this charge to the S&T programme in
the next biennium. These issues are addressed in section IV below.
That section also flags the possible need for an additional programme
to provide support to any ad hoc intergovernmental process that may
result from decisions at COP 3 on the outcome of the Berlin
Mandate.
46. The purpose of this section is to highlight, in each
programme, the uncertainties and issues on which the Executive
Secretary is seeking specific guidance from the SBI. Such guidance
will steer the secretariat in its preparation of the programme budget
for the coming biennium and contribute to the determination of
proposed resource needs.
47. Under a separate agenda item at its fifth session, the SBI
will consider the calendar of meetings for 1998 and 1999. It is hoped
that these deliberations will result in a decision on the number of
sessional periods during the 1998-1999 biennium. This decision has
important budgetary implications, as the number and frequency of
meetings directly influence the work programme of the secretariat and
the costs of conferences. Meanwhile, for the purposes of the
development of the cost estimates, it has been assumed that, in each
of the years 1998 and 1999, there would be two sessional periods of
two weeks each for the subsidiary bodies, and one week for the COP,
all with a capacity for two parallel meetings. These estimates will
be adjusted in the programme budget to reflect any guidance given by
the SBI (see FCCC/SBI/1997/5, paragraphs 21 to 27).
48. The provision of conference services, and their financing, is
an element of the Policy-Making Organs programme but is considered in
paragraphs 58 to 61 below because of the relationship with the CMIS
programme.
49. The levels of the Executive Secretary and of the two other
senior posts of the Convention secretariat will, in accordance with
decision 14/CP.1, paragraph 8, and as recalled in decision 14/CP.2,
paragraph 6, be reviewed at COP 3. As outlined in a note by the
President of the COP at its first session on the Levels of
Remuneration of Senior Posts and Appointment of the Executive
Secretary (FCCC/CP/1996/6/Add.3), the results of initial Bureau
discussions and consultations with the Secretary-General on this
topic were as follows:
(a) The level of remuneration of the post of the head of the
Convention secretariat was set at the level of Assistant
Secretary-General in the United Nations Secretariat structure. The
Executive Secretary was appointed by the Secretary-General at this
level for a fixed term of two years, effective 1 January
1996;
(b) The two other senior posts were set at the D-2 level, as
provided for in the Convention budget for the biennium
1996-1997.
50. The Secretary-General will in due course, consult the COP
through its Bureau on the appointment of an Executive Secretary for a
term starting on 1 January 1998. To do so, the Secretary-General will
need to be advised of the level at which that appointment is to be
made.
51. The Executive Secretary is in the process of making
appointments at the D-2 level. The duration of these appointments
beyond 31 December 1997 is subject to the confirmation of that level
by COP 3.
52. It would be desirable if both these issues could be settled by
the SBI at its sixth session in the context of its recommendation to
the COP on the programme budget. On that basis, the SBI would be able
to invite the President of the COP to communicate to the
Secretary-General the recommended level of the post of the Executive
Secretary.
(i) Methodologies
53. The SBSTA is expected to take a decision on the work programme
of the secretariat in the area of methodologies (see paragraph 25
above). If a very extensive programme of work is envisaged,
additional resources will need to be budgeted beyond those costed in
section V. This subprogramme is currently alloted two professional
posts for the next biennium.
(ii) IPCC contribution
54. An annual contribution to the IPCC of $310,600 intended to
defray costs associated with the IPCC's work in support of the
Convention, particularly scientific assessments, was included as an
expenditure relating to policy-making organs in the programme budget
for the biennium 1996-1997. It is proposed that this contribution be
shifted to the S&T programme.
55. The IPCC's programme of work will continue to support the
Convention in the biennium 1998-1999. Moreover, the IPCC will begin
work on the third assessment report before the end of the millennium.
In this context, the Executive Secretary seeks guidance on the
maintenance of a UNFCCC contribution to the IPCC and on possible
levels of support for 1998 and 1999. The estimates included in
section V were developed on the assumption that the status quo would
be maintained.
(i) Communications from non-Annex I
Parties
56. The nature and timing of the process for the consideration of
communications from non-Annex I Parties is still under discussion and
may not be finalized until COP 3. The Implementation programme will
be responsible for the receipt and dissemination of communications
from non-Annex I Parties. Resources for this purpose, as well as for
a limited number of regional workshops and the preparation of a
compilation and synthesis report, are assumed in the budget estimates
included in section V. These include approximately four professional
posts. If it is envisaged that the secretariat would have additional
responsibilities, for example, coordinating visits or an extensive
process of workshops or peer reviews, additional resources would be
required. It is estimated that two additional professional posts,
plus considerable funds for travel and consultants and some general
service support, would be required to meet this eventuality. The cost
of a review process on the scale of the in-depth reviews of Annex I
communications has not been estimated at this stage.
(ii) Ad Hoc Group on Article
13
57. The work of the AG-13 is advancing but it is not clear whether
this work will be concluded in 1997 or continue into the next
biennium. Moreover, if the process concludes by COP 3, there is still
uncertainty about whether a multilateral consultative mechanism will
be established and what level of support it would require from the
secretariat. Guidance is sought on how this situation should be
reflected in the programme budget. The estimates in section V are
based on an assumption that AG-13 or its successor process would
require a level of secretariat support similar to that provided to
date (including one professional post).
(i) Servicing of meetings
58. By its resolution 50/115, the General Assembly decided to "include in the calendar of conferences and meetings for 1996-1997 the sessions of the Conference of the Parties and its subsidiary bodies envisaged for that biennium entailing twelve weeks of conference-servicing facilities" (paragraph 8), and requested the Secretary-General to "make the necessary arrangements to include in the calendar of conferences and meetings for the biennium
1998-1999 those sessions of the Conference of the Parties and its
subsidiary bodies that the Conference may need to convene in that
period" (paragraph 9). After further consideration by the Advisory
Committee on Administrative and Budgetary Questions and the Fifth
Committee, the General Assembly decided, by its resolution 50/232, to
authorise the Secretary-General to enter into the necessary financial
commitments for the provision of these services in 1996-1997 from the
regular budget of the United Nations up to a limit of
$5,517,000.
59. The General Assembly will reconsider this issue during its
fifty-second session, and decide, hopefully by late 1997, whether the
conference servicing needs of UNFCCC will continue to be included in
the regular budget of the United Nations. The timing and outcome of
this decision are not yet clear. In anticipation of a positive
decision, the Executive Secretary is investigating the possibility of
establishing a budget line within the United Nations conference
servicing budget against which ÙNFCCC servicing costs could be
charged in order to obtain the most cost-effective services possible
from different United Nations Offices.
60. The Executive Secretary proposes that the preparation of the
budget for the biennium 1998-1999 be based on an assumption that the
United Nations will continue to finance the servicing of meetings for
UNFCCC. However, these services will be included in the programme
budget as a contingency item, to be added to the core budget
if necessary at the end of 1997. The Executive Secretary would then
inform the Parties of the decision of the General Assembly in an
expeditious manner and would, if necessary, notify them of revised
levels of contributions for 1998. In the event that the General
Assembly decides not to continue to finance these services for
UNFCCC, it will be important for organizational reasons not to
schedule any sessions in the early part of 1998.
61. The Executive Secretary seeks guidance from the SBI on whether
this "contingency" approach is satisfactory.
62. If the United Nations programme budget were to stop funding
conference services for the Convention bodies, the secretariat would
need to contract such services from qualified suppliers. It would
also have to provide the staff to manage these services and ensure
that United Nations linguistic standards are maintained. The source
of such services will influence their costs. Thus, in order to place
a budgetary value on the contingency of paying for these services
from the core budget, a choice will have to be made among different
possible sources.
63. The secretariat has considered three options that could
maintain the same quality of service as hitherto: contracting
services from UNOG, against payment; contracting translation services
from a United Nations source (UNOG or another) and interpretation and
other services from individual or corporate contractors on a
commercial basis; and contracting all services from commercial
contractors. In the second option, the choice of allocating
interpretation (as opposed to translation) to contractors outside the
United Nations is influenced by the fact that the United Nations
itself often has recourse to experienced freelance interpreters at
favourable rates, whereas translation tends to require a more solid
infrastructure that ensures proper referencing and terminological
consistency. The costs of conference services are considerable,
ranging from approximately $ 5.5 to $ 10 million (depending on the
assumptions used); the first option is the most costly, while the
third is the least costly. The estimated costs of the three options,
in broad orders of magnitude, will be presented at the forthcoming
SBI session.
64. The first (UNOG) option has the advantage of
familiarity and the disadvantage of the highest cost among the three
options. It would entail the least managerial responsibility for the
Convention secretariat, though it might maintain certain rigidities
which characterise UNOG's documentation policy. While the third
(commercial) option is attractive because of its lower
cost and the full flexibility that it would offer, its disadvantage
is the greater managerial responsibility for the secretariat. The
secretariat is concerned that the assumption of such a responsibility
should not be sudden, as that might put the delivery of conference
services at risk. Consequently, it tends to favour the second
(mixed) option as being more prudent for the forthcoming
biennium. Under this option, the secretariat would try to improve the
efficiency and speed of translation services by seeking the best
supply conditions among the different United Nations sources. The
third option is retained as a possibility for the following biennium
(2000-2001).
65. The SBI is invited to comment on this preliminary evaluation.
Meanwhile, the secretariat will continue its consultations on these
options with the responsible United Nations services and the
Executive Secretary will make a recommendation to SBI 6 in the
proposed programme budget.
66. It may be noted in passing that the secretariat has not considered the possibility of there being a common United Nations conference service in Bonn in the next biennium; this possibility appears remote at the present stage of Bonn's evolution as a United Nations centre. However, were there to be demand for similar conference services from other United Nations entities to be located in Bonn in the future, there might be some savings to be made from a cooperative arrangement for contracting and managing such services. The
Executive Secretary will keep a watch on this issue and report to
the COP as needed.
(ii) Costs of organizing
meetings
67. As noted above, the "Bonn Fund" has been provided by the
Government of Germany to cover the costs of organizing Convention
events in Germany. The highest priority in the use of this fund is to
secure adequate physical conference facilities for the Convention
bodies to meet at the seat of the secretariat. The second priority is
to pay for staff and other costs involved in managing these
facilities that are not covered by the core budget. The amount of
money needed to pay for the first priority will depend on the number
and duration of sessions to be convened each year and the costs of
the physical facilities for those sessions. The first of these
factors is to be determined by the Parties, in the context of the
calendar of meetings for 1998-1999. The second is an unknown factor
for the secretariat, which has just started to acquire experience of
these costs. Until a clear picture emerges of the costs of conference
facilities in Bonn, the secretariat will not be able to bank on there
being a margin in the "Bonn Fund" to pay for the staff and other
costs of managing those facilities.
68. The staffing needs for conference management, in turn, depend
on the scale of the job (i.e. the number and duration of sessions),
on the scope of the tasks for which the secretariat will have to take
responsibility (i.e. whether or not the United Nations continues to
perform some of these tasks) and on the provision in the core budget
for the CMIS programme. For the time being, it has been assumed that
the latter provision and the margin available in the "Bonn Fund" will
be sufficient to cover conference management costs. Should the margin
in the "Bonn Fund" fall below expectations, additional resources will
be needed from the core budget.
(iii) Substantive liaison
arrangements
69. The secretariat currently maintains a limited capacity in
Geneva for administrative liaison with the United
Nations Office at Geneva. This administrative liaison office will be
maintained, staffed by one general service category administrative
assistant, and, as necessary, temporary staff. The costs associated
with this arrangement are expected to continue to be financed from
overhead funds paid to the United Nations.
70. In paragraph 9 of decision 14/CP.2 (FCCC/CP/1996/15/Add.1),
the COP requests Parties to communicate to the secretariat any need
for liaison arrangements between their national focal points and the
secretariat in Bonn. The Executive Secretary, in conjunction with
other Convention secretariats and United Nations bodies, is also
requested to explore the availability, cost, and funding of suitable
liaison arrangements in Geneva and/or New York, and to report thereon
to the SBI at its fifth session. These inter-secretariat
consultations have been initiated but not concluded.
71. As of the end of 1996, thirteen Parties had informed the
secretariat that they intend to continue using their permanent
missions to the United Nations in Geneva as their designated focal
points to the Convention.(4) Two
Parties indicated that they would, as of 1997, designate their
permanent missions to the United Nations in New York as their focal
points.(5)
72. It is understood that the main purpose of any such substantive liaison arrangements would be to enhance contact and exchange of information with diplomatic missions and observer organizations based in the respective United Nations centres and to serve as a workplace for secretariat staff members on mission. Liaison staff would also perform representational duties (such as attending meetings, delivering statements), saving travel costs.
73. Should the creation of substantive liaison arrangements in
Geneva and/or New York be deemed desirable by the Parties, it is
foreseen that such liaison offices could be established and operated
in cooperation with at least one additional convention secretariat or
other United Nations body. Possible partners include the secretariats
of the Convention on Biological Diversity (CBD) and the Convention to
Combat Desertification (CCD), both of which have expressed initial
interest in exploring the feasibility of such arrangements.
Arrangements for financing and sharing costs and management
responsibilites would need to be examined carefully, with proposals
submitted for review by the COP.
74. The maintenance of such liaison offices would require
financial resources for additional secretariat staff members (in both
professional and general service categories) and general operating
expenses (such as rent, communication costs, travel to headquarters,
supplies).
75. The SBI is invited to advise whether the programme budget
should include provision for a substantive liaison office in Geneva
and/or New York, on the understanding that the resources would be
additional to those identified for the CMIS programme in section V
below. Advice is also sought on the suitability of sharing such
offices with the secretariats of the CBD and CCD.
(iv) Promotion of public awareness and relations with
NGOs
76. The Parties may wish to consider whether the secretariat
should undertake work in support of their efforts to raise public
awareness of climate change (as required by Article 6 of the
Convention) and/or to enhance substantive liaison with
non-governmental organizations (NGOs). Uncertainty remains about the
capacity of UNEP to take the lead on Article 6, as has been suggested
by the Executive Secretary. Uncertainty also exists surrounding the
outcome of deliberations in the Convention's subsidiary bodies on
mechanisms for inputs by NGOs to the Convention process. Work in
these areas could be located in the CMIS programme. It would require
one professional post, with additional resources being sought from
supplementary funding.
77. The Convention pays the standard 13 per cent overhead charge
to the United Nations to cover the costs of the administrative
services provided by the United Nations. A portion of these funds are
returned to the Convention secretariat by the United Nations
Department of Administration and Management (DAM) to cover the costs
of the secretariat's administrative unit. As reported previously, in
1996 overhead funds were provided to finance the costs of one
professional and two general service posts approved in the core
budget by COP 1. DAM has recently agreed to provide overhead funds to
the Convention secretariat for an additional one professional and two
general service posts.
78. These administrative arrangements are to be reviewed toward
the end of the biennium (see decisions 14/CP.1 and General Assembly
resolution 50/115). While the results of this review are not certain,
the secretariat has assumed that current arrangements will be
continued and, in the hope that they could be further developed, has
made provision for a third professional post to be funded from
overheads in 1998-1999.
79. If COP 3 decides to establish an ad hoc inter-governmental
process to implement the outcome of the Berlin Mandate, there will be
a need for a secretariat capacity to coordinate such a process. In
addition, there may be a request to the secretariat to undertake
analytical work relating to mechanisms for differentiation among
Annex I Parties or to the further development of flexibility
provisions, such as emissions trading.
80. The SBI is invited to give guidance on whether the programme
budget should include a contingency provision for such a support
capacity, organized as a distinct programme, and, if so, whether this
capacity should be limited to process management or incorporate
substantive analytical expertise. To undertake process management, it
is estimated that the secretariat would require two additional
professional posts (including one at the D-1 level); at least one
other professional post would be necessary if analytical work were
required. Related additional expenditures to discharge such functions
effectively would be needed in either case.
81. As noted in paragraph 6 above, the Executive Secretary was
encouraged to provide broad estimates of resource requirements
("back-of-the-envelope" figures) as part of the financial
perspectives to be made available to SBI. These broad estimates are
found in the following tables on staff requirements (posts), overall
estimated financial requirements and contingencies.
82. These estimates are a first illustration of the orders of
magnitude of financial resources that could be sought for 1998-1999.
They are intended to assist Parties in their provision of guidance on
the specific topics outlined above. The Parties will be invited to
review detailed estimates when the programme budget is formally
submitted to SBI 6 (July 1997).
|
|
|
|
|
|
| |||||
|
Programme |
1998 |
1999 |
1998 |
1999 |
1998 |
1999 |
1998 |
1999 |
1998(6) |
1999 |
|
Policy-Making Organs |
- |
- |
- |
- |
- |
- |
- |
- |
- |
- |
|
Executive Direction and Management |
|
|
|
|
|
|
|
|
|
|
|
Science and Technology (7) |
2 |
2 |
1.5 |
2 |
4.5 |
6(8) |
5 |
6 |
1.3 |
16 |
|
Implementation |
2 |
2 |
2.5 |
3 |
11 |
14(9) |
10 |
12 |
25.5 |
31 |
|
Conference Management and Information Services |
|
|
|
|
|
|
|
|
|
|
|
Resources, Planning and Coordination (10) |
|
|
|
|
|
|
|
|
|
|
|
TOTAL |
7 |
7 |
7 |
8 |
27 |
32 |
31 |
34 |
72 |
81 |
|
Comparison with staffing table approved for the budget year 1997 5 |
7 |
6 |
16.5 |
17 |
46.5 | |||||
|
Programme |
1998 |
1999 |
|
Staff costs: posts as in Table 2: |
|
|
|
Executive Direction and Management |
600 |
700 |
|
Science and Technology |
1,500 |
1,900 |
|
Implementation |
2,800 |
3,400 |
|
Conference Management and Information Services |
2,200 |
2,300 |
|
Resources, Planning and Coordination |
600 |
700 |
|
Total staff costs |
7,700 |
9,000 |
|
Other programme costs |
3,500 - 4,000 |
3,600 - 4,100 |
|
TOTAL |
11,200 - 11,700 |
12,600 - 13,100 |
|
APPROVED CONVENTION BUDGET 1997: |
8,507.0 | |
|
|
| |
|
|
|
|
|
Additional work programme elements: TBD by the Parties |
|
|
|
Work programme on methodology |
|
|
|
Consideration of non-Annex I communications |
|
|
|
AG-13: continuation/follow-up |
|
|
|
Liaison arrangements: a portion of |
|
|
|
Promotion of public awareness and relations with NGOs |
|
|
|
Post-Kyoto ad hoc intergovernmental process |
|
|
|
Other provisions: TBD by the Parties |
|
|
|
Calendar of meetings (number and length of sessions in 1998-1999) |
|
|
|
Level of Executive Secretary and other senior posts |
|
|
|
Change in level of contribution to IPCC |
|
|
|
Discontinuation of services: TBD by the United Nations |
|
|
|
Absorption of conference servicing provided by the United
Nations in 1996-1997 Refund of administrative overheads Unknown locational factors: TBD by experience |
|
|
|
Additional core budget contribution to conference management costs (see paragraphs 67 and 68) |
|
|
TBD= to be determined.
83. In accordance with paragraph 15 of decision 15/CP.1, a special fund has been created by the Secretary-General of the United Nations and is managed by the Executive Secretary. This fund is designed to receive voluntary contributions to support the participation in the COP and its subsidiary bodies of the representatives of developing-country Parties, in particular those that are least developed countries or small island developing States, and of other Parties with economies in transition. The current basic eligibility criterion for funding of participation of a Party is that its
per capita gross domestic product was $5,500 or less in 1994. In
the event of a shortage in the fund, priority is given to support of
representatives from least-developed countries and small island
developing states. Unless decided otherwise by the COP, the
secretariat will continue to apply this criterion and the
above-mentioned priorities.
84. Estimates of resource needs for this fund are dependent on two
main variables:
(a) The number of eligible Parties: At the most recent sessions of
the subsidiary bodies (December 1996), 122 Parties were eligible for
support. To accommodate an expected increase in this number, resource
needs for 1998-1999 will be calculated on the basis of 130 eligible
Parties in 1998 and 135 in 1999.
(b) The number of sessions of the COP and its subsidiary bodies
per year: Resource needs for 1998-1999 will be calculated on the
assumption of two subsidiary body sessional periods of two weeks each
and one COP of one week's duration in both 1998 and
1999.
85. Taking these variables into account, the resources needed for
this fund in the next biennium are estimated to be $5.0
million.
86. The Trust Fund for Supplementary Activities serves as an
important resource for the secretariat in its attempts to respond to
the emerging needs and requests of the COP and its subsidiary bodies.
It has been used to date for a variety of activities, including the
maintenance of the CC:INFO data base on activities related to climate
change and the dissemination of information contained therein via
various printed and electronic media; the convening of CC:FORUM (an
informal consultative group aimed at furthering dialogue on the
provision of technical and financial support to developing countries
and economies in transition for the implementation of the Convention)
and the creation of an electronic listserve to enhance communication
among CC:FORUM participants; and the convening of workshops, such as
the workshop on mechanisms for inputs from NGOs convened during the
February/March 1996 sessions.
87. It is expected that the uses of the fund will continue to be
diverse in the biennium 1998-1999. These uses are planned to include,
inter alia:
(a) The production of information products and materials, such as
the CC:INFO/Activities Report, CD-ROMs, the Directory of Participants
in the COP and its subsidiary bodies, and the secretariat's World
Wide Web site;
(b) The convening of various workshops and seminars;
(c) The convening of further meetings of CC:FORUM and continued
maintenance of the CC:FORUM listserve;
(d) The further development and implementation of CC:INFO/Web, an
initiative designed to facilitate the development of national web
sites on the Convention.
88. A target for supplementary funding in 1998-1999 along with
proposed programme activities will be included in the programme
budget proposed to SBI 6.