Standard Operating Procedure (SOP)
SOP number: 9
Version: 2.0 (last update: 19 December 2013)
Effective Date: 24 December 2013 Maintained by/Author:
COB/Andrea Lechner
Title: Preparation and updating of Secretariat work plans
Description: Procedures for preparing and updating work plans for implementing the Basel, Rotterdam and Stockholm conventions programmes of work, including joint activities:
The Secretariat work plans are based on the adopted programmes of work of the conventions, the decisions taken at the meetings of the conferences of the parties and other activities mandated by the texts of the
conventions.
Each biennium, following the meetings of the conferences of the parties, new work plans are developed and updated on a quarterly basis.
Each branch and the Rome-based Secretariat (hereinafter referred to as
“entities”) appoint a work plan focal point to coordinate the preparation and updating of the work plans within his/her entity. The work plan focal points collaborate closely with each other and the work plan coordinator to ensure that information provided is consistent and presented in a harmonized and concise manner.
The conventions’ coordinators make sure that all activities requested under the conventions are covered by the work plans. They also oversee the implementation of activities set out in the work plans and identify activities that have been overlooked or where implementation is delayed.
The work plans should be output-oriented, to the point, and focus on important milestones. It is not necessary to cover detailed activities.
Actors: 1. Management team 2. Work plans coordinator 3. Work plans focal points
4. Responsible officers – i. e. programme, communications, finance, legal, scientific, etc. officers
5. Branch Chiefs and coordinator of the Rome-based Secretariat1 (BC/CRRCS)
6. Executive Secretary(ies)2 7. Conventions coordinators 8. Webmaster
1 The coordinator of the Rome-based part of the Rotterdam Convention Secretariat is to be involved in the updating of work plans pertaining to the Rotterdam Convention and to synergies activities involving the Rome-based Secretariat.
2 The Executive Secretary of the Rome-based part of the Rotterdam Convention Secretariat is to be involved in the updating of work plans pertaining to the Rotterdam Convention.
Steps:
I. Developing new work plans
1. For each biennium, following the meetings of the conferences of the parties, the management team defines the individual entities’ responsibilities for implementing decisions adopted by the conferences of the parties.
2. The work plans coordinator then sends the work plans template (see annex), the latest version of the work plans, and the information on entity responsibilities per decisions adopted to the work plan focal points, inviting them to prepare new work plans for the decisions they are responsible for.
3. The work plans focal points send the work plans to all relevant
responsible officers in their entity. The entities identify the activities required to implement the decisions, as well as additional ones, for example those
mandated by the adopted programmes of work (budgets), the texts of the conventions, previous COP decisions, or the meeting reports.
Note: The Rome-based part of the Rotterdam Convention Secretariat needs to be involved in the development of the work plan pertaining to the
Rotterdam Convention and synergies activities involving the Rome-based Secretariat.
4. The responsible officers develop new work plans using the template (see annex for more information on how to provide input) according to their responsibilities and involves relevant staff from entities in the drafting process.
The officers then send their input to their work plans focal point.
5. Each work plans focal point compiles the input from their respective entities and makes sure that correct and complete information is provided. The work plans focal points also ensure conciseness and reduce the number of rows created, if necessary.
6. The work plans focal points send the work plans to their respective BC/CRRCS for clearance and, once cleared, to the work plans coordinator.
Note: The work plans focal points can agree to enter information directly on a file based on a shared drive.
7. The work plans coordinator reviews the work plans, makes sure that information is presented in a correct and harmonized manner and compiles the input from the five entities.
8. The work plans coordinator sends the work plans to the conventions coordinators who check that all activities mandated by the conferences of the parties or the texts of the conventions are included in the work plans.
9. The work plans coordinator then sends the work plans to the management team.
10. The management team reviews the work plans and agrees on the allocation of entity responsibilities. The following should be considered at this stage:
Even though entities have overall responsibility for certain
decisions according to the COP Decisions Organigram, individual activities/requests of a decision can be implemented by another entity.
If another entity is involved in the implementation of an activity, the additional entities and the type of involvement (e.g. “entity to be informed”; “in cooperation with”), is indicated in the
“Comments” column.
For individual activities that are shared among entities on an equal footing, the wording “jointly” is added to the column
“Responsible entity”. Such cases should be avoided as much as possible, except for joint responsibilities between Geneva and Rome.
11. Once finalized and approved by the management team, the work plans coordinator sends the work plans to all Secretariat staff. The work plans coordinator also prepares a public version of the work plans and ensures posting on the synergies website as per the SOP on websites content management.
II. Updating work plans
12. The work plans coordinator sends the current version of the work plans to the work plan focal points on a quarterly basis, inviting them to update the work plans.
13. The work plans focal points send the work plans to all relevant responsible officers in their entity.
Note: For activities that are implemented “jointly” (indicated in the
“Responsible entity” column), updates need to be agreed upon by all entities involved. For activities that other entities are involved in (indicated in the
“Comments” column), the lead entity updates the work plans. Concerned entities are to be involved in the implementation of activities on a day-to-day basis.
14. The responsible officers inform their focal point of updates to their respective activities (see annex for more explanation on how to provide updates).
Note: In case activities are not meeting external or internal deadlines, responsible officers need to indicate in the comments column why this is the case (e.g. funding not received, etc.)
15. The focal points compile the input from their entity and make sure that correct and complete information is provided on each of the activities their entity is responsible for.
16. The focal points clear updates with their BC/CRRCS as agreed upon with them: e.g. small updates (status updates) can be done by the focal point, while new activities need to be cleared by the BC/CRRCS.
17. The focal points then enter the updates directly into the work plans available on a shared drive, highlighting changes in a visible color.
18. The work plans coordinator reviews the updates and makes sure that information is presented in a harmonized manner. He/she takes off the highlights and finalizes the work plans.
19. The work plans coordinator sends the work plans to the conventions coordinators, who make sure that activities mandated by the conferences of the parties or the texts of the conventions are implemented according to deadlines. For internal purposes, they indicate delays in the work plans as follows:
Red light: Activities not meeting external deadlines are highlighted in red.
Orange light: Activities that are in danger of not meeting external deadlines are highlighted in orange. This could for example be the case if internal deadlines are significantly delayed so that it can be expected that the external deadline might not be met.
20. In addition to highlighting delays in the work plans, the conventions coordinators prepare a summarized list of the activities highlighted in red and orange in the work plans (hereinafter referred to as the “activities alert list”) which require the attention of the management team. The activities alert list may also include other information requiring the attention of the management team, such as significant delays in the implementation of an activity caused by the lack of funding or delays in receiving funds.
21. Once finalized, the updated work plans, highlighting delays in red and orange, and the activities alert list are sent to the management team by the work plans coordinator. The management team reviews and clears the work plans and discusses how to follow up on the activities alert list.
22. Finally, the work plans coordinator sends the updated work plans to all Secretariat staff. The work plans coordinator also prepares a public version (work plan without responsible branch, responsible person, status and comments columns) of the work plans and ensures posting on the synergies website under Management Reports/Quarterly Reports as per the SOP on websites content management, on a quarterly basis.
III. Transition from old to new work plans
23. New work plans are developed following the meetings of the conferences of the parties, as per the process laid out in section I.
24. Until the end of the biennium, the old and new work plans are being updated in parallel. By the end of the biennium, the old work plans are closed and all activities should be completed or cancelled. Activities that carry on into the next biennium and are not yet contained in the new work plans can be carried over from the old work plans at that point. Such cases should be avoided as much as possible. The list of activities that require to be transposed into the new work plans is reviewed by the management team when the old work plans are closed.
Document revision history
Version Description Date
0.0 Initial draft 14.08.2012
0.1 Revision after lead branch discussion 27.08.2012
0.2 Revision after Management Team discussion 10.09.2012
1.0 Final version posted 12.09.2012
2.0 Revised draft posted 10.01.2014
Annex
Format of the work plans and explanations on how to fill in the work plans
Conve ntion
Decision reference
Decision
title Requests Deliver- ables
Internal deadline
External deadline
Activity number
Programme of work activity
Responsible entity
Responsible
person Status Comments BC/
RC/
SC/
BRS
E.g.
BC-10/1
Title of the decision
Relevant paragraph from the decision
Output- oriented deliverable (e.g. report published, document prepared)
Deadline set internally for the activity
Deadline as per decision or convention text
Activity number from the program me of work (e.g.
BC1)
Title of the programme of work activity (as indicated in the budget tables)
ASB / COB / TAB/ SSB / RC Rome / Jointly by …
Responsible person in the branch
Not started / In progress/
Done
Any other relevant information, including other involved branches and why implementati on is delayed
Please highlight new content in a clearly visible color.
Please insert one entry per field only. If multiple entries are required (e.g. one decision contains several requests, or one deliverable is covered by several programme of work activities), the rows need to be multiplied.
____________________
